Jay Clayton
Some stories require a subscription to access the full source article.
CFTC chair Tarbert names senior staff
By Louisa Chender
July 17, 2019, Global Investor Group
The head of the Commodity Futures Trading Commission (CFTC) has named his senior staff three days after taking over as chair.…
Read More →
SEC’s Blass rebuts assertion Reg BI is tougher than fiduciary standard
By Mark Schoeff Jr.
July 10, 2019, InvestmentNews
Even before the Securities and Exchange Commission approved new investment advice reform rules in June, there was debate about whether the broker …
Read More →
SEC Chief Defends Rules That Warren Called a Gift to Wall Street
By Benjamin Bain
July 8, 2019, Bloomberg
U.S. Securities and Exchange Commission Chairman Jay Clayton is striking back at critics who’ve said one of his signature regulatory achievements is a …
Read More →
U.S. SEC adopts rules to prevent broker conflicts, boost disclosure
By Katanga Johnson
July 5, 2019, Reuters
The U.S. Securities and Exchange Commission (SEC) on Wednesday voted to adopt a package of rules requiring brokerage firms to disclose potential conflicts …
Read More →
SEC Chair: Crypto should be regulated differently than stocks and bonds
SEC Chairman Jay Clayton joins “Squawk Box” to discuss where the SEC stands on cryptocurrency regulation.…
Read More →
SEC Chair Jay Clayton on the new rules for financial advisors
The Securities and Exchange Commission voted to approve new rules that call for brokers to act in the best interest of their clients when advising them on investments. The decision …
Read More →
Regulation Best Interest may require changes to muni market rules
By Sarah Wynn
June 5, 2019, The Bond Buyer
The Securities and Exchange Commission has approved a new rule for broker dealers that market participants expect will require a lot …
Read More →
New SEC Rule Heightens Broker Responsibilities to Investors
By Dave Michaels
June 5, 2019, The Wall Street Journal
Stockbrokers will have more responsibility to act in the best interest of investors and tell them about conflicts of interest …
Read More →
Broker Sales Practices to Face Limits
By Dave Michaels
May 23, 2019, The Wall Street Journal
Stockbrokers will soon have to disclose more about conflicts of interest that can bias investment advice under a government plan …
Read More →
SEC Points Toward Market Solutions in the U.S. to Resolve MIFID II Conflict
By Amrish Ganatra, Commcise Software Limited
Originally published by Integrity Research Associates and on the TABB FORUM
With the SEC actively reviewing whether to allow its MIFID II-oriented no-action letter …
Read More →