Jay Clayton

Exchanges are required to begin feeding trading data into the Consolidated Audit Trail on Wednesday.

The SEC sought $3.4 billion in sanctions, the lowest total since 2013, according to data collected by a law professor at Georgetown University.

Harmonizing a potential SEC regulation with that of the Labor Department is tricky business, experts say.

Nov. 13: Planners behind the curve may lose out on productivity and quality of service offered to clients.

The new database is a good first step in helping to address gaps in the oversight of advisors, but more needs to be done, say industry observers.

“People need to know what the rules are,” an industry consultant says.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

Chairman Jay Clayton says the regulator is drafting a rule proposal to harmonize standards for brokers and advisors.

In the wake of cyberattacks at Equifax and EDGAR, SEC Chairman Jay Clayton makes an unusually lengthy statement appealing for RIAs to bolster security.

Advocates call for the commission to address investor confusion.