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Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.December 19
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Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.December 12
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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.November 19
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An extension from the agency comes amid warnings from brokerages that breaking out stock and bond analysis would threaten their own research businesses.November 6
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The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.November 5
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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.October 29
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In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.October 4
Director of PlanningLife Planning Partners
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The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.September 26
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The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.July 11
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The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.July 9
