Jay Clayton

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.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

The chairman says the commission is working closely with FINRA on inspection plans to hold brokers to account.

Lucas Moskowitz's job put him at the center of much of the agency’s business, including policymaking and enforcement actions.

Opening the door to retail money comes with risks, including the danger of exposing financial neophytes with relatively limited savings to complex investments.

The regulator disclosed a transformative rule change, sparking outrage among fiduciary advocates and some advisors.

The new rule package will require firms to take a hard look at their compliance programs.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

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.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.