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SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities


Washington D.C., April 13, 2018 —

The Securities and Exchange Commission today announced its staff will host a roundtable on April 23 that will address the market structure for thinly-traded exchange-listed securities, both equities and exchange-traded products.  The roundtable, which will be held at the SEC's headquarters at 100 F Street, NE, Washington, D.C., will discuss the challenges faced by participants in the market for thinly-traded exchange-listed securities and potential improvements that might be considered to the market structure for these securities.  

Smaller companies, the securities of which are often thinly traded, play an essential role in our economy.  Currently, there is a single equity market structure for all National Market System (NMS) securities, large and small, liquid and illiquid.  Staff is interested in views from a broad range of market participants as to whether targeted changes should be made to optimize the market structure for thinly-traded securities. 

The roundtable will be open to the public and webcast live on  Information on the agenda and participants will be issued shortly.

Members of the public who wish to provide their views on the topic may submit comments electronically or on paper.  Please submit comments using one method only.  Information that is submitted will become part of the public record of the roundtable and posted on the SEC's website.  All comments received will be posted without change.  Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make publicly available.

Electronic Comments:

Use the SEC's Internet submission form or send an email to

Paper Comments:

Send paper comments to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, D.C. 20549-1090.

All submissions should refer to File Number 265-31, and the file number should be included on the subject line if email is used. 


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