Oct 30, 2018 | Capital Markets, Report
In recent years, U.S. companies have raised more equity through private offerings available only to institutional and high-net-worth investors than through initial public offerings (“IPOs”) that are available to the general public.1 The number of U.S. public companies...
Oct 25, 2018 | Capital Markets, Statement
On October 25, 2018, Hal S. Scott, President of the Committee on Capital Markets Regulation, participated as a panelist at the Securities and Exchange Commission’s (SEC) Roundtable on Market Data and Market Access. Professor Scott delivered remarks and answered...
Oct 17, 2018 | Banking, Letter
On October 17, 2018, the Committee submitted a comment letter to the Federal Reserve, Federal Deposit Insurance Corporation, Office of the Comptroller of the Currency, Commodity Futures Trading Commission, and Securities and Exchange Commission providing the...
Sep 24, 2018 | Banking, Capital Markets, Financial Stability, Report
U.S. Enforcement Agencies Impose $18 Billion in Fines on Financial Institutions in 2017 In June 2018, the staff of the Committee on Capital Markets Regulation released a report entitled “Rationalizing Enforcement in the U.S. Financial System.” The staff report...
Sep 24, 2018 | Capital Markets, Statement
On September 24, 2018, the Committee released a statement expressing concern that U.S. stock exchanges are charging excessive fees for market data services that are unnecessarily increasing the cost of trading stocks for U.S. investors. The Committee statement...
