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Jay Clayton

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News

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 …

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News

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 …

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News

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 …

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Video

SEC Chairman Clayton on Market Risks

Securities and Exchange Commission Chairman Jay Clayton tells David Rubenstein that among his worries about markets are expectations relating to leveraged loans, a “hard” Brexit and cyber terror. His comments …

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Video

SEC Chairman Draws Line on Insider Trading `Fairness’

Securities and Exchange Commission Chairman Jay Clayton tells David Rubenstein that trading based on inside information may be legal if it’s been obtained in a “non-nefarious way.” His comments come …

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Comments

The SEC Tells Senator Elizabeth Warren That It Is Monitoring CLO Markets

By Mayra Rodriguez Valladares, MRV Associates
Originally published in Forbes

Last week, I wrote advocating that Secretary of the Treasury Steven Mnuchin, as head of the Financial Stability Oversight Council …

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News

Clayton hints Reg BI may be out earlier than expected

By Mark Schoeff Jr.
May 2, 2019, InvestmentNews

Securities and Exchange Commission Chairman Jay Clayton remained tight-lipped about investment advice reform regulation on Thursday, but he hinted that it might …

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News

Acosta says Labor Department will revive fiduciary rule

By Mark Schoeff Jr.
May 1, 2019, InvestmentNews

Labor Secretary Alexander Acosta told lawmakers Wednesday the agency would revive its fiduciary rule.

In a hearing of the House Education and …

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News

After Huge Data Breaches, Republicans Back Watchdog’s Move to Limit Investor Personal Data Collection

By Rita Raagas De Ramos
April 24, 2019, Financial Advisor IQ

Members of the House Financial Services Committee have written to the SEC to express support for the regulator’s move …

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News

Systematic pennying on SEC’s agenda

By Sarah Wynn
April 15, 2019, The Bond Buyer

The Securities and Exchange Commission is discussing two new rule recommendations to address systematic “pennying.”

The SEC’s Fixed Income Market Structure …

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  • Why Europe’s markets might need MiFID III

  • New data reveals the number of U.K. investment firms struggling with MiFID II reporting

  • Industry warned as regulators fail to provide feedback on MiFID II transaction reporting

  • Analyst coverage shrinks after fee shake up

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  • E.U. regulator says MiFID II rules have failed on market data costs

  • Why Europe’s markets might need MiFID III

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