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Jay Clayton
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.
New SEC chairman faces pressure to ease regulatory burden
Business groups looking for regulatory relief were quick to hail the Senate's confirmation of Jay Clayton, a veteran Wall Street lawyer.
SEC nominee Clayton vows 'zero tolerance' for bad actors
The prominent Wall Street lawyer makes a strong argument to skeptical lawmakers that he will be a tough cop on the beat if confirmed.
Trump SEC pick set for contentious reunion with Warren
The senator isn't waiting for attorney Jay Clayton's confirmation hearing to ramp up her opposition.
Robo advice, elder abuse in SEC crosshairs in 2017
Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.
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