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In early 2022, the Securities and Exchange Commission (SEC) proposed a series of new rules and rule amendments aimed primarily at increasing transparency and protecting investors in...
Statement on Volume-Based Exchange Transaction Pricing for NMS Stocks Commissioner Mark T. Uyeda October 18, 2023
On this episode of the inSecurities podcast, Chris and Kurt chat with SEC Commissioner Mark T. Uyeda about the state of the U.S. capital markets, Commissioner Uyeda’s views on the SEC...
Statement on Short Position and Short Activity Reporting by Institutional Investment Managers Commissioner Mark T. Uyeda October 13, 2023
On September 13, 2023, the U.S. Securities and Exchange Commission brought a settled enforcement action against Stoner Cats 2 LLC for raising approximately $8 million through an...