Jay Clayton

Under Clayton, who left the SEC in December, regulators determined Bitcoin and Ether weren’t securities, removing an overhang that could have impeded trading and acceptance of those tokens.

President Biden has picked Allison Herren Lee, a member of the Securities and Exchange Commission, as the acting chair of the SEC, as nominee Gary Gensler waits in the wings as a more permanent chair once he is confirmed by the Senate.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

Investor advocates, religious groups and proponents of ESG investing argue the changes are a gift to business lobbyists that will muzzle corporate critics.

The 4,000-person regulator in March was one of the first federal agencies to tell employees to stay home due to the public health emergency.

Almost 90% of smaller fund managers would no longer have to report their investments and their firms would save $136 million a year, the agency estimates.

The regulator was one of the first U.S. agencies to tell employees to stay home during the pandemic,

The relief allows funds to obtain cash infusions through collateralized loans until the end of June.

Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.

“This is a demand and supply shock,” Jay Clayton said, adding that he’s concerned businesses might not have access to all the credit they need.

Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.

Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.

A close look at the seven letters Jay Clayton highlighted, and about two dozen others submitted to the SEC by supposedly regular people, shows they are the product of a misleading — and laughably clumsy — public relations campaign by corporate interests.

An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.

The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.

The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.

In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.