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Jay Clayton
Fiduciary fatigue settles over SEC best interest rule debate
"The process has become enervating and exhausting and to the point where you don't even want to look at it anymore," an expert says.
Elizabeth Warren: Worried about broker conflicts? The SEC isn’t
It's not too late for the the SEC to fix its flawed proposal before it issues its final rule, says the Democratic senator from Massachussetts.
Top SEC officials blast leveraged ETFs
The funds, which account for roughly 1% of the $3.5 trillion of assets in ETPs, “pose real risks to American families.”
SEC proposes new leeway to limit largest whistleblower payouts
“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.
SEC poised to advance rule that streamlines ETF approval process
The framework targets so-called plain vanilla funds, yet leaves in place a more laborious path for firms wishing to list complex products.
Advisor groups calling on SEC to clarify distinct roles of IAs, brokers
Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.
SEC outlines cybersecurity changes after probe of EDGAR hack
The reforms could serve as a checklist for firms looking to enhance their own cybersecurity posture in light of the regulator’s increased scrutiny.
SEC's best interest rule falls short, House Democrats warn
Lawmakers praise the spirit of the rule, but want to see a true uniform fiduciary standard.
Pershing's Tibergien praises guidelines on use of ‘advisor’ in SEC proposal
The CEO of Pershing Advisor Solutions sees an opportunity for RIAs in the potential restrictions on a term that has stoked criticism.
Why 'fiduciary' was left out of the SEC proposal
Investment advisors and broker dealers have different “relationship models” with clients, the chairman says.
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