Sep 13, 2018 | Capital Markets, Report
Short selling plays an important role in efficient capital markets, conferring positive benefits by facilitating secondary market trading of securities through improved price discovery and liquidity, while also positively impacting corporate governance and,...
Jul 16, 2018 | Capital Markets, Letter
On July 16, 2018, the Committee submitted a comment letter to the Securities and Exchange Commission (“SEC”) in response to the SEC’s request for comment on its Regulation Best Interest and Form CRS Relationship Summary proposals. These proposals are intended to...
Jun 25, 2018 | Banking, Financial Stability, Letter
On June 25, 2018, the Committee submitted a comment letter to the Federal Reserve (the “Fed”) in response to the Fed’s proposals on amendments to the Regulatory Capital, Capital Plan, and Stress Test Rules (“Proposed Amendments”). The letter commended the Fed for its...
Jun 14, 2018 | Banking, Capital Markets, Report
The Staff of the Committee on Capital Markets Regulation recommends the following reforms to the U.S. public enforcement regime:1 Chapter 1: Enhancing the Structure of the U.S. Enforcement System – Improving Coordination and Procedural Fairness Each enforcement...
Mar 1, 2018 | Banking, Financial Stability, Op-Ed
By HAL S. SCOTT Originally published by the Financial Times on March 1, 2018 Ten years after the start of the financial crisis, US policymakers are finally starting to deal with the stiff regulatory reaction that it spawned. The US Senate will soon take up the first...
