1-Hour Program

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Overview

Taken from the Audio-only Briefing Trading and Markets (The SEC Speaks in 2019: Workshop B) Recorded April 2019 in New York

Trading and Markets (The SEC Speaks in 2019: Workshop B) [01:00:30]

• Fixed income recommendations
• Reg ATS 
• Trading practices and new products 
• Recent no-action letters, staff interpretations, and notable exemptive orders 
• Significant SRO rules 
• Clearing agency regulation and supervision 
• Title VII Status
• Crypto Issues
• Digital Securities Trading: Are you an exchange?

Speakers: Division of Trading and Markets 
Randall W. Roy, Deputy Associate Director
Andrew R. Bernstein, Senior Special Counsel
David R. Dimitrious, Senior Special Counsel
Tyler B. Raimo, Senior Special Counsel
Elizabeth A. Sandoe, Senior Special Counsel
Sheila Dombal Swartz, Senior Special Counsel
Timothy J. White Jr., Senior Special Counsel
Jenny L. Ogasawara, Branch Chief


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