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  • Ordering Competition, SEC Commissioner Hester M. Peirce, Dec. 14, 2022

    Date 14/12/2022

    Thank you, Mr. Chair.  Too often in its history, the SEC has sought to order competition rather than facilitate orderly competition.  This latest effort to order competition threatens to create disorder in the capital markets, the functioning of which is so important to the rest of our economy.  Accordingly, I cannot support this proposal.

  • Is This The Best Execution We Can Get?, SEC Commissioner Hester M. Peirce, Dec. 14, 2022

    Date 14/12/2022

    Thank you, Mr. Chair.  A broker’s best execution obligation is one of its fundamental duties to its customers.  The customer relies on the broker to exercise its judgment to figure out how best to execute a trade to achieve the customer’s objectives.  The broker, as agent, must follow its principal’s—meaning its customer’s—orders and, as articulated in judicial precedents going back at least to the nineteenth century, must do so in good faith.

  • Statement On Proposed Rule Regarding Best Execution, SEC Commissioner Mark T. Uyeda, Dec. 14, 2022

    Date 14/12/2022

    Thank you, Chair Gensler.  As with any proposed rule, a central question should be: does this rule address an important problem or failure in the markets?  If not, then given that government regulation typically imposes costs, and often has unintended negative consequences, we should be circumspect. 

  • SEC Proposes Regulation Best Execution

    Date 14/12/2022

    The Securities and Exchange Commission today proposed Regulation Best Execution, which would establish through Commission rules a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers. While a best execution rule was first established in 1968 by the National Association of Securities Dealers, Inc., the predecessor to the Financial Industry Regulatory Authority, Inc., the proposed rule, if adopted, would create the first SEC-established rule concerning best execution.

  • Statement On Proposed Amendments Regarding Order Execution Quality, SEC Chair Gary Gensler, Dec. 14, 2022

    Date 14/12/2022

    Today, the Commission will consider a proposal to enhance disclosure requirements for order execution quality. I am pleased to support this proposal because, if adopted, it would improve transparency on execution quality and facilitate investors’ ability to compare brokers, thereby enhancing competition in our markets.

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