SEC Office of Compliance Inspections and Examinations Director Peter Driscoll highlighted key risks facing retail investors caused by bad actors and poor internal controls.
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In testimony before the U.S. House Committee on Financial Services, SEC Chair Jay Clayton outlined priorities for the agency and reviewed recent accomplishments.
MSRB published investor education materials on mark-up and mark-down disclosures in municipal securities trade confirmations. The materials provide additional guidance for complying with new rules scheduled to take effect May 14, 2018.
IOSCO conducted a cross-border survey of the ways in which incentives for order routing are regulated in various jurisdictions, including in the European Union and the United States.
IOSCO requested public comment on the findings of a new report that surveyed the approaches and practices of regulators concerning incentives for order routing and execution.