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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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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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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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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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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