transcript   Transcript

Workshop G: Trading and Markets

Recorded on: Feb. 27, 2018
Running Time: 01:06:44

Full Transcript:



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Taken from the Program The SEC Speaks in 2018 Recorded February 2018 in Washington, D.C.

Workshop G: Trading and Markets [01:06:44]
  • Fixed Income
  • Reg ATS
  • Trading practices and new products
  • Significant enforcement matters
  • Recent no-action letters, staff interpretations, and notable exemptive orders
  • Significant SRO rules
  • Clearing agency regulation and supervision
  • Title VII Status

Speakers: Division of Trading and Markets
Randall W. Roy (moderator), Deputy Associate Director
Raymond Lombardo, Assistant Director 
W. Carson McLean, Assistant Director
Jeffrey S. Mooney, Assistant Director
Andrew R. Bernstein, Senior Special Counsel
David Dimitrious, Senior Special Counsel
Tyler Raimo, Senior Special Counsel
Valerie Dahiya, Branch Chief
Neel Maitra, Attorney Adviser


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  • Outline: SEC Speaks 2018, Division of Trading and Markets
(s)
Andrew R. Bernstein ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Valerie Dahiya ~ Branch Chief, Division of Trading and Markets, U.S. Securities and Exchange Commission
David Dimitrious ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Raymond Lombardo ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Neel Maitra ~ Attorney Adviser, Division of Trading and Markets, U.S. Securities and Exchange Commission
W. Carson McLean ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Jeffrey S. Mooney ~ Assistant Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
Tyler Raimo ~ Senior Special Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission
Randall W. Roy ~ Deputy Associate Director, Division of Trading and Markets, U.S. Securities and Exchange Commission
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