Jay Clayton

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U.S. SEC proposes exchanges seek public consultation on data fee changes

By Katanga Johnson
October 1, 2019, Reuters

The U.S. securities regulator on Tuesday proposed a change to the way exchange operators alter their fees, in a move aimed at improving …

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SEC adopts new rules to level playing field for ETF providers

By Saqib Iqbal Ahmed
September 26, 2019, Reuters

The Securities and Exchange Commission on Thursday said it would adopt a new rule to modernize how exchange-traded funds (ETFs) are brought …

News

SEC’s Jay Clayton Eyes Corporate Bond Market

By Rob Daly
September 9, 2019, Markets Media

Securities and Exchange Commission Chairman Jay Clayton is turning a sharper eye towards the growing U.S. corporate debt market and what impacts …

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SEC Pressures Exchanges on Long-Delayed Market Surveillance Project

By Alexander Osipovich
September 9, 2019, The Wall Street Journal

The Securities and Exchange Commission is stepping up pressure on exchanges to finish a huge, long-delayed database designed to help …

MiFID, News

MiFID II in the U.S.: firms explore research unbundling options

By John Crabb
August 29, 2019, Practice Insight from IFLR

U.S. market participants are unsure about local regulators’ position on a key piece of E.U. financial market legislation.

The no-action …

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Kelly’s departure a crossroads for the MSRB

By Sarah Wynn
August 7, 2019, The Bond Buyer

The impending retirement of Municipal Securities Rulemaking Board President and CEO Lynnette Kelly is a crossroads for the MSRB, following months …

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SEC proposes rule changes to ease company disclosure compliance

By Michelle Price
August 8, 2019, Reuters

The U.S. Securities and Exchange Commission on Thursday proposed changing the rules governing how publicly-traded companies disclose business, legal, and risk factors in …

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Wall Street’s Shady Swap Trades Spark Pushback From Regulators

By Benjamin Bain, Silla Brush, and Claire Boston
August 5, 2019, Bloomberg

Wall Street’s push to clean up a $10 trillion corner of the derivatives market is getting poor reviews …

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Fund Liquidity: Don’t Throw the Baby Out with the Bathwater

By Adrian Whelan, Brown Brothers Harriman
Originally published at the On the Regs blog

For some time now regulators across the globe have been sharply focused on the liquidity of …

MiFID, News

SEC’s Clayton Seeking Permanent Fix for Wall Street’s MiFID Pain

By Benjamin Bain
July 25, 2019, Bloomberg Law

The Securities and Exchange Commission, seeking a long-term response to European Union rules that force brokerages to bill separately for trading and …