Search for: "Clayton Dodds"
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12 Jul 2019, 6:17 am
Securities and Exchange Commission, on Tuesday, July 9, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Fiduciary duties, Investment advisers, Investor protection, Regulation Best Interest, Retail investors, SEC, Securities regulation, Transparency Statement on Retirement of Chief Justice Strine Posted by Jay Clayton, U.S. [read post]
5 Jul 2019, 6:05 am
Katz, Trevor Norwitz, and Victor Goldfield, Wachtell, Lipton, Rosen & Katz, on Wednesday, July 3, 2019 Tags: Accountability, Disclosure, Financial reporting, Mergers & acquisitions, Regulation S-X, SEC, Securities regulation Statement Regarding Offers of Settlement Posted by Jay Clayton, U.S. [read post]
24 Jun 2019, 7:19 am
Chairman Clayton also credited Commissioner Peirce for her excellent leadership in the agency’s efforts to stand up the Dodd-Frank Title VII regulatory regime. Pierce declared, “These final rules are designed to ensure the financial integrity of dealers at the center of the critically important security-based swap market and represent an enormous effort on the part of our staff, particularly in the Divisions of Trading and Markets and Economic and Risk Analysis. [read post]
21 Jun 2019, 12:06 pm
I am grateful for Chairman Clayton’s leadership in moving forward on these rulemakings in a way that is both expeditious and prudent. [read post]
21 Jun 2019, 7:40 am
I am grateful to Chairman Giancarlo and Chairman Clayton for their work on this rule and our broader cooperation efforts. [read post]
10 May 2019, 7:05 am
These proposals preserve important investor and market protections, while at the same time addressing several of the practical implementation challenges that have been identified,” said SEC Chairman Jay Clayton. [read post]
10 May 2019, 6:17 am
Senate Committee on Appropriations Posted by Jay Clayton, U.S. [read post]
29 Mar 2019, 6:09 am
Rose, Sidley Austin LLP, on Sunday, March 24, 2019 Tags: Anti-corruption, CFTC, Commodities, Commodities Exchange Act, Dodd-Frank Act, DOJ, FCPA, International governance, Misconduct, SEC, Securities enforcement PE Professionals on the Boards of their Portfolio Companies Posted by Glenn West and Miae Woo, Weil, Gotshal & Manges LLP, on Monday, March 25, 2019 Tags: Boards of Directors, Books and… [read post]
20 Dec 2018, 6:54 am
Chairman Jay Clayton said: "The new rules will provide for clear and straightforward disclosure of company policies regarding hedging. [read post]
7 Dec 2018, 5:00 am
Clayton’s focus on financial disclosures. [read post]
14 Nov 2018, 7:36 am
Asked about possible progress on other unfinished Dodd-Frank rulemaking, Hinman said that Chairman Clayton wants to do them serially, so once the hedging proposals are out the staff will move on to the others. [read post]
31 Oct 2018, 7:30 am
The Dodd-Frank and JOBS Act mandate created “approximately 100 good excuses” for this delay, Peirce said, and she noted that Chairman Clayton has made it a priority to finish the regulatory framework for security-based swaps. [read post]
22 Oct 2018, 2:29 pm
The decision was unanimous, with Securities and Exchange Commission (SEC) Commissioner Elad Roisman voting on delegated authority due to the recusal of SEC Chair Jay Clayton. [read post]
19 Oct 2018, 6:08 am
Securities and Exchange Commission, on Saturday, October 13, 2018 Tags: AIG, Broker-dealers, Derivatives, Financial regulation, Market efficiency, SEC, SEC rulemaking, Swaps, Transparency Opening Statement at the SEC Open Meeting Posted by Jay Clayton, U.S. [read post]
18 Oct 2018, 7:57 am
Circuit resulted in the NetCoalition II decision in which the court held that the Dodd-Frank Act deprived it of jurisdiction over the appeal. [read post]
12 Oct 2018, 8:05 am
Specifically, the subcommittee may consider the treatment under Dodd-Frank of existing derivatives contracts that are amended to include new fallback provisions or otherwise reference alternative benchmark rates. [read post]
21 Sep 2018, 6:10 am
Securities and Exchange Commission, on Saturday, September 15, 2018 Tags: Boards of Directors, Institutional Investors, Proxy advisors, Retail investors, SEC, Securities regulation, Shareholder voting Remarks to the SEC Investor Advisory Committee Posted by Jay Clayton, U.S. [read post]
17 Sep 2018, 6:31 am
The Dodd-Frank Act authorized the SEC to require all brokers and advisers to comply with the same fiduciary standard, the letter states. [read post]
24 Aug 2018, 6:06 am
Springer, Gibson, Dunn & Crutcher LLP, on Wednesday, August 22, 2018 Tags: Banks, Capital requirements, Charter & bylaws, Consumer protection, Dodd-Frank Act, Financial institutions, Financial regulation, Financial technology, OCC, Risk, Stress tests Statement on Investor Roundtables Regarding Standards of Conduct for Investment Professionals Rulemaking Posted by Jay Clayton, U.S. [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
