Jay Clayton

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

Regulators in Massachusetts launched a “sweep” of more than 60 firms that sold nearly $1.3 billion in limited partnerships sponsored by GPB Capital.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

Instead, Chairman Jay Clayton should be looking for a quicker way for companies to move from private to public markets, and back.

"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.

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.

The funds, which account for roughly 1% of the $3.5 trillion of assets in ETPs, “pose real risks to American families.”

“Our whistle-blower program is a critical component in our investor-protection toolbox,” SEC Chairman Jay Clayton says.

The framework targets so-called plain vanilla funds, yet leaves in place a more laborious path for firms wishing to list complex products.

Six fiduciary groups call on advisors press SEC to clarify the differences between advisory and brokerage business models.