Jay Clayton

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.

Non-public corporate earnings reports were among the stolen information, the regulator claims.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.

Chairman Jay Clayton said he remains worried that cryptocurrency can be too easily stolen or manipulated on exchanges.

Like everything else on Wall Street, this dispute is about the bottom line.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

Actions against advisors and fund companies accounted for nearly a quarter of all standalone cases, even while budget constraints and legal setbacks hobble enforcement efforts.

The regulator proposed a "clear and concise" summary for clients considering the products, but the impact appears limited.

Critics say quarterly reporting prompts companies to hold back on hiring and spend capital on share buybacks to meet short-term forecasts.

Companies that haven’t released financial reports for extended periods of time are expected to be put under the microscope.