Securities and Exchange Commission Historical Society
Program
Curb Traders - New York - 1916

Friday June 1, 2018. 12:00 to 1:30 ET

Regulation and Market Structure from ATS to NMS

Live video broadcast discussion between moderator Dr. Ken Durr and 3 former directors of SEC's Division of Trading and Markets:

  • Richard G. Ketchum, division director from 1984 - 1990
  • Dr. Richard R. Lindsey, division director from 1995 - 1998
  • Commissioner Annette Nazareth, division director from 1999 - 2005

The program will be part of the Market Structure Gallery, opening in December. The panel will examine the reshaping of the equities markets from the mid-1990s to mid-2000s, from Reg ATS (Alternative Trading System) through Reg NMS (National Market System), distinguishing, as best they can, the role of regulation, market innovation, and chance, in driving these changes.

You are also welcome to attend in person at the US Securities and Exchange Commission (100 F Street NE, Washington, DC), and after the program help us commemorate the SEC's 84th birthday by joining us for ice cream. REGISTER NOW to facilitate getting through SEC security.


New in the Museum
Program

April 3, 2018
Roundtable of SEC Enforcement Directors


Hear about the origins of the FCPA, the development of insider trading, and the impact of technology on the markets and the retail investor, giving insight into the overall development and direction of the SEC's enforcement program.

Panelists: Stephanie Avakian and Steven Peikin, and former division directors Andrew J. Ceresney, Stephen Cutler, Robert Khuzami, Gary Lynch, William McLucas, Stanley Sporkin, Linda Thomsen, and Richard Walker. Moderator: Dr. Harwell Wells.

New Gallery

December 1, 2017
Investment Company Regulation: The Intricacies of an "Enlightened Partnership"

The Investment Company Gallery is the museum's 16th permanent gallery. The gallery shows how investment companies and their financial products - a cornerstone of American finance - have evolved over the last 75 years through a complex interplay between investment advisers, fund managers, and federal regulators.

Visit the Gallery

Permission for Use

The virtual museum and archive is copyrighted by the SEC Historical Society. The Society reserves the right to restrict access to or use of the museum by any user at any time.

Users are prohibited from sharing or downloading any material for publication or commercial purposes without written permission from the Executive Director. Requests for permission must be submitted by email and specify the material requested and for what purpose.

Material used with the Society's permission should be credited to: www.sechistorical.org.