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Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.
March 19 -
“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.
March 17 -
Holders of Series 7 licenses, "knowledgeable" fund employees and Native American tribes would become eligible to make riskier investments in private markets.
December 19 -
Jay Clayton talked up the commission's latest enforcement efforts and defended Reg BI before skeptical lawmakers.
December 12 -
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 -
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 -
The agency floats proposal to expand regulations to accommodate new online channels, allow for third-party ratings and testimonials.
November 5 -
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 -
In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.
October 4Life 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