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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 -
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
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Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.June 27
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Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.June 18
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The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.June 12
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The new rule package will require firms to take a hard look at their compliance programs.June 7
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Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.June 5
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Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.May 30
