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A Trading Desk’s View of Market QualityThoughts from a Former Regulator

A Trading Desk’s View of Market Quality: Thoughts from a Former Regulator CHAPTER 7: THOUGHTS FROM A FORMER REGULATOR Laura Unger Independent Director and Consultant ROBERT SCHWARTZ: Laura Unger was a keynote speaker at our conference three years ago, and it is a pleasure to have her back. When Laura was here on the last occasion as a Commissioner of the SEC, she made an extremely thought-provoking speech. That speech is now presented as a chapter in the book on the conference, which we published. Welcome back, Laura. This time it will be a little different. You will not have to start with a disclaimer. LAURA UNGER: Actually, I heard somebody else give the disclaimer for me, so I suppose that I should not worry about it. I was here three conferences ago, and left feeling that people didn’t like the SEC. I see that things really haven’t changed much (laughter). I know I have three strikes against me. I am a former regulator, I am the last person speaking, and I am the only thing that separates you from your cocktail hour. Bob thought it would be interesting – for all of you – if I look back and talk about what it was like at the SEC, and discuss http://www.deepdyve.com/assets/images/DeepDyve-Logo-lg.png

A Trading Desk’s View of Market QualityThoughts from a Former Regulator

Editors: Schwartz, Robert A.; Byrne, John Aidan; Colaninno, Antoinette

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Publisher
Springer US
Copyright
© Kluwer Academic Publishers Boston 2005
ISBN
978-1-4020-7510-0
Pages
139 –150
DOI
10.1007/0-387-23114-5_7
Publisher site
See Chapter on Publisher Site

Abstract

CHAPTER 7: THOUGHTS FROM A FORMER REGULATOR Laura Unger Independent Director and Consultant ROBERT SCHWARTZ: Laura Unger was a keynote speaker at our conference three years ago, and it is a pleasure to have her back. When Laura was here on the last occasion as a Commissioner of the SEC, she made an extremely thought-provoking speech. That speech is now presented as a chapter in the book on the conference, which we published. Welcome back, Laura. This time it will be a little different. You will not have to start with a disclaimer. LAURA UNGER: Actually, I heard somebody else give the disclaimer for me, so I suppose that I should not worry about it. I was here three conferences ago, and left feeling that people didn’t like the SEC. I see that things really haven’t changed much (laughter). I know I have three strikes against me. I am a former regulator, I am the last person speaking, and I am the only thing that separates you from your cocktail hour. Bob thought it would be interesting – for all of you – if I look back and talk about what it was like at the SEC, and discuss

Published: Jan 1, 2005

Keywords: Institutional Investor; Market Data; Retail Investor; Market Quality; Global Marketplace

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