SEC Director Peter Driscoll described the regulatory and operational challenges of delivering financial services during the pandemic, the issuance of alerts on pandemic and emergent risks (including on cybersecurity), and the roll out of Regulation Best Interest.
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SEC Commissioner Kara M. Stein warned regulators and industry professionals to carefully consider the costs and benefits of marketing and selling complex products to retail investors.
SEC Chair Mary Jo White called for the SEC, FINRA and the exchanges to offer recommendations to adjust the "limit-up/limit-down" plan in order to reflect the sensitivity of exchange-traded products to disorderly market activity.