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Jay Clayton
SEC begins working with DoL on fiduciary rule
Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.
SEC's cybersecurity warnings take more urgent tone after hacks
In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.
Should the SEC regulate the ‘advisor’ title?
Advocates call for the commission to address investor confusion.
How the SEC is using automation and targeting for exams
Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.
Republican lawmaker renews assault on fiduciary rule
A new bill would go further than past attempts to block the Labor Department altogether.
SEC OCIE exams to rise despite lower budget
OCIE plans to conduct 1,850 probes of RIAs, a 28% jump over its 2016 total, while sharply cutting those aimed at broker-dealers.
Want to chime in? DoL seeks yet more fiduciary input; may delay final phase-in
The move comes the same week that the SEC said it would try to coordinate with the Labor Department on the regulation.
SEC chairman promises action on fiduciary rule
Jay Clayton acknowledged in testimony on Capitol Hill that it's a “very complicated issue.”
As SEC inches forward on fiduciary, can advisers expect action this time?
An open question is how the latest effort by the agency would coordinate with the Department of Labor.
Big data driving SEC focus on disclosures, recommendations and security
In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.
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