Topic SEC Updates
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Stay updated with the latest U.S. Securities and Exchange Commission (SEC) rules and regulations.
Liquidity Is Out, ETFs Are In
The SEC’s stance on its not-yet-effective liquidity rule appears fluid, as commissioners push to abandon part of the rule and certain division heads move on to other topics.
The SEC Is Nervous About Options
On February 23, 2018, Commissioner Kara M. Stein gave a speech about broad ethical and economic considerations regarding the rapid advances in financial product innovation, which appears to be accelerating as financial firms increasingly use technology to expand their product line and deepen their reach into retail markets.