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Statement on Proposed Amendments to the Cross-Trading Rules
3+ day, 4+ hour ago (523+ words) Commissioner Mark T. Uyeda Official websites use.gov Secure.gov websites use HTTPS More in this Section Statement on Proposed Amendments to the Cross-Trading Rules Liquidity is essential to well-functioning capital markets. When market participants can buy and sell securities quickly…...
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds
3+ day, 6+ hour ago (360+ words) The Securities and Exchange Commission today proposed amendments to the Investment Company Act “cross-trading rule,” which permits transactions in securities between a registered fund and its affiliates under certain conditions. The proposed amendments… Official websites use.gov Secure.gov websites…...
Remarks to the ALI CLE 2013 Conference on Life Insurance Company Products
5+ day, 19+ hour ago (318+ words) Good morning. Thank you, Steve, for your kind introduction and for inviting me to speak today. Before I begin, let me remind you that the views I express are my own and do not necessarily reflect the views of the…...
Remarks to the Practising Law Institute, Private Equity Forum
5+ day, 20+ hour ago (423+ words) [1]Thank you, Yukako, for that kind introduction. Good morning everyone and before I begin, let me remind you that the views I express are my own and do not necessarily reflect the views of the Commission, any of the Commissioners,…...
Remarks to the 2014 Insured Retirement Institute Government, Legal & Regulatory Conference
5+ day, 18+ hour ago (229+ words) U.S. Securities and Exchange Commission Good morning and thank you for that kind introduction and for inviting me to speak with you today. Before I begin, it is my obligation to remind you that my remarks represent my own views and…...
Remarks to the Practising Law Institute, Hedge Fund Management Seminar 2014
5+ day, 20+ hour ago (284+ words) U.S. Securities and Exchange Commission Thank you, Nora, for the kind introduction. Good morning and thank you for inviting me to speak to you today. Before proceeding, let me remind you that the views I express are my own and do…...
Remarks to the SIFMA Complex Products Forum
5+ day, 12+ hour ago (335+ words) Good morning everyone, and thank you, Tracy, for that kind introduction and for inviting me to speak here today. Before I begin, let me remind you that the views I express are my own and do not necessarily reflect the…...
Remarks to the ALI CLE 2014 Conference on Life Insurance Company Products
5+ day, 12+ hour ago (233+ words) Division staff has worked and continues to work diligently to take stock of various emerging trends affecting the asset management industry in real time, rather than reacting to problems raised by industry developments after they occur. In short, we are…...
Remarks to the ICI 2014 Securities Law Developments Conference
5+ day, 14+ hour ago (899+ words) speech by Norm Champ, Director, Division of Investment Management, in Washington, D.C., on December 10, 2014 Official websites use.gov Secure.gov websites use HTTPS More in this Section Remarks to the ICI 2014 Securities Law Developments Conference Good morning everyone, and thank you,…...
Remarks to PLI Investment Management Institute 2015
5+ day, 17+ hour ago (548+ words) Good morning everyone, and thank you, Paul, for that kind introduction. I would also like to thank both you and Barry Barbash for inviting me to speak here today. Before I begin, let me remind you that the views I…...
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