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Category: Spotlight Series

SEC Fiduciary Duty Rule Must Protect Investors

By Lev Bagramian There are plenty of indications that the SEC is earnestly working to propose a fiduciary duty rule for broker-dealers.   Last June, essentially as his first act as the Chairman of the SEC, Mr. Jay Clayton requested information to better inform and facilitate the staff’s efforts in drafting a fiduciary duty rule proposal. […]

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The SEC’s Investor Advisory Committee: Part I

By Lev Bagramian When we launched this blog, we promised that we would pay attention to the work of the federal advisory committees.  Here, we provide an important backgrounder on these committees at the SEC, and later, we’ll analyze some of their specific recommendations. Federal advisory committees can, in principle, offer a broad range of […]

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Making Markets or Scurrying Away Just When Needed: A Study of HFTs

By Lev Bagramian High frequency traders (HFT) and their supporters have for a long time claimed that HFT adds liquidity to the market and provides market-making that’s beneficial to investors, stabilizes prices, and narrows spreads.  A recent study, using data from the Australian Stock Exchange (ASX), which covers nearly 90% of all securities trade in […]

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Bad Actors Should Be Expelled, Not Simply Supervised

By Lev Bagramian As the front-line regulator of broker-dealers, FINRA (Financial Industry Regulatory Authority) – Congressionally-charged and overseen by the SEC – has the important duty of protecting investors and maintaining their trust and confidence in the securities markets.  Every time an investor’s life savings are obliterated by fraud or eaten away by conflicts of […]

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