Jay Clayton

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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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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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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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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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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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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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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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