Jay Clayton
Some stories require a subscription to access the full source article.
SEC approves new rules for proxy advisers
By Kadhim Shubber
July 22, 2020, Financial Times
The US Securities and Exchange Commission on Wednesday approved new restrictions on proxy advisers but dropped a measure that would have required …
Read More →
SEC, MSRB provide guidance on muni advisor exemptive order
By Sarah Wynn
July 8, 2020, The Bond Buyer
The Securities and Exchange Commission’s temporary exemption to allow municipal advisors to arrange certain private placement deals is indeed narrow and …
Read More →
Federal appeals court upholds Regulation Best Interest
By Mark Schoeff Jr.
June 26, 2020, InvestmentNews
A federal appeals court upheld Regulation Best Interest in an opinion released Friday night, clearing the way for the new broker advice …
Read More →
SEC, Justice Department to Scrutinize Exchanges’ Market-Data Business
By Dave Michaels and Alexander Osipovich
June 22, 2020, The Wall Street Journal
Wall Street’s chief regulator and the nation’s antitrust watchdog agreed to a formal partnership that could result …
Read More →
SEC gives MAs temporary relief to engage in private placement deals
By Sarah Wynn
June 16, 2020, The Bond Buyer
Municipal advisors will be temporarily allowed to arrange certain private placement deals without needing to register as a broker-dealer, much to …
Read More →
Appeals Court Rules for Stock Exchanges in Fee Fight With SEC
By Dave Michaels and Alexander Osipovich
June 16, 2020, The Wall Street Journal
Judges for a federal appeals court handed stock exchanges a victory on Tuesday by ruling their regulator …
Read More →
FIMSAC urges more work on pre-trade transparency
By Kyle Glazier
June 1, 2020, The Bond Buyer
The Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee is recommending that regulators explore ways to improve pre-trade transparency …
Read More →
SEC: Investors Need Timely Information on Muni Bond Issues
By Bernice Napach
May 5, 2020, ThinkAdvisor
The Securities and Exchange Commission is advising municipal bond issuers to disclose “as much information about their current financial and operating condition as …
Read More →
CFTC’s Quintenz to Leave Swaps Regulator by End of October
By Ben Bain
April 28, 2020, Bloomberg
Brian Quintenz, the longest-serving member of the U.S. Commodity Futures Trading Commission, is planning to leave the agency by the end of October.…
Read More →
SEC Revamps its Fair Valuation Rules
By Caitriona Flynn, Brown Brothers Harriman
Originally published at the On the Regs blog
The Securities and Exchange Commission (SEC) recently voted to propose a new rule under the Investment …
Read More →