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SEC's Order Competition Rule Is Regulation By Speculation

In December, the U.S. Securities and Exchange Commission issued four rule proposals that would fundamentally transform our nation’s equity markets. The comment period ends March 31, and while the final rules may take...more

FINRA Settles Its First Reg BI Action

On September 28, 2022, FINRA settled its first formal action alleging violations of Regulation Best Interest, Rule 15l-1(a) under the Securities Exchange Act of 1934 (Reg BI)....more

SEC Files Groundbreaking Reg BI Complaint

On June 15, 2022, the SEC filed its first complaint alleging violations of the “care obligation” and the “compliance obligation” of Regulation Best Interest, Rule 15l-1(a) under the Securities Exchange Act of 1934 (Reg BI)....more

The SEC May Soon Propose Changes to Equity Market Structure: What Traders Should Know

On October 14, the Securities and Exchange Commission (SEC) released its report regarding the GameStop event of January 2021. The report does not fault the actions of any market participants. Instead, it outlines the U.S....more

SEC Targets Payment for Order Flow: What Broker-Dealers and Wholesale Market Makers Should Know

In January 2021, the GameStop trading halt exploded across the headlines. Consumer advocates and the financial press pointed fingers at a number of industry players, paying particular attention to the model of “payment for...more

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