On Thursday, June 22, two House Financial Services Subcommittees held hearings on oversight of the SEC. Using these hearings as a partial backdrop, the Security Traders Assocation (STA) identify a few equity market structure rule proposals that will have major implications for broker dealers and investors, both self-directed and institutional.
Jesse Forster is participating on this Open Call event and will discuss:
- The SEC’s no-action letter on MiFID II requirements that excludes broker dealers from the definition of investment advisor for compensation of certain research services is set to expire July 3, 2023
- The industry's move towards T+1 settlement The SEC's Equity Market Structure Proposals
- Order Competition Rule & Rule 605
- Anticipated October release of SEC regulations on the use of new technologies by broker dealers and associated conflicts of interest
Watch here via Zoom
