Tag: Jay Clayton
SEC’s IAC Discusses Self-Directed IRAs, Minority Community Investor Inclusion
The SEC’s Investor Advisory Committee (IAC) met on September 24 to discuss self-directed individual retirement accounts (IRAs) and minority community investor inclusion. Regarding self-directed IRAs, Chairman Jay Clayton in his...
October 02, 2020
Tags: Diversity & Inclusion, IAC, IRAs, Jay Clayton
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment
Lee Wants Greater Clarity, Certainty from SEC in COVID-19 Environment April 8, 2020 SEC Commissioner Allison Herren Lee has called on her agency to “move quickly and clearly” to...
April 08, 2020
Tags: Allison Herren Lee, Coronavirus, COVID-19, Jay Clayton
SEC to Public Companies: Disclosures Should Reflect Changes Caused by COVID-19 Pandemic, Info on Future Operations and Needs April 10, 2020 Anticipating release of first quarter earnings and related discussions with...
April 10, 2020
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic
Clayton Urges Increased Care for Retail Investors in Wake of Pandemic Also Confirms June 30 Reg BI, Form CRS Compliance Date June 18, 2020 Jay Clayton Saying the effects...
June 18, 2020
Tags: CARES Act, Coronavirus, COVID-19, Form CRS, IRAs, Jay Clayton, Reg BI, Retirement Plans
Highlights from the IAA/CMS Trading and Best Execution Summit: Market Structure Changes and IAs’ Trading, Best Ex Obligations June 24, 2020 The IAA’s second annual Trading and Best Execution...
June 24, 2020
Tags: Best Execution, Brett Redfearn, Coronavirus, COVID-19, Hester Peirce, Jay Clayton, Trading
SEC Chairman, Enforcement Director Reinforce Focus on Retail Investors
SEC Chairman Jay Clayton Jay Clayton, Chairman of the SEC, recently gave a speech in which he reiterated his focus on retail investors. Clayton suggested that the defining principles for...
September 24, 2020
Statistics Point to Record-Setting Year for SEC
SEC Chairman Jay Clayton provided an update on the SEC’s results for the 2020 fiscal year during this year’s virtual SEC Speaks conference on October 8. He applauded the agency...
October 15, 2020
SEC Study Finds Credit Markets Largely Absorbed COVID-19 Risk, But Still Have a Way to Go
A new report by SEC staff seeks to identify the extent to which interconnectedness and related interdependencies in the U.S. credit markets contributed to or mitigated risk – including systemic...
October 27, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, DERA, Jay Clayton
Preparing to Leave the SEC, Clayton Reviews Accomplishments, Identifies Areas for Further Review
Three days after announcing his intent to conclude his tenure as SEC Chairman at the end of the year, Jay Clayton returned to the venue of his first speech as...
November 24, 2020
Tags: Accredited Investor, Form CRS, Jay Clayton
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