All Jay Clayton articles – Page 3
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ArticleSEC’s Clayton calls out dearth of global assistance in battling corruption
Is the SEC tired of being a global cop? In a speech Monday, SEC Chair Jay Clayton rallied against a “continuing lack of global commitment” to combatting offshore corruption.
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ArticleNew SEC guidance addresses proxy voting process
New SEC releases address the applicability of proxy rules to proxy voting advice and provide guidance to investment advisers in fulfilling their proxy voting responsibilities, particularly when they retain the services of a proxy advisory firm.
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ArticleSEC’s Clayton emphatically defends Reg. BI
SEC Chairman Jay Clayton, speaking to an audience of financial professionals in Boston, vigorously defended Regulation Best Interest and came out swinging against critics.
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ArticleSEC's Clayton reignites debate about pairing of enforcement, waivers
In a potential boon for businesses, SEC Chairman Jay Clayton says qualifications for waiver issuances may no longer be delayed due to lingering accusations of misconduct.
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ArticleSEC seeking comment on ways to harmonize private securities offering exemptions
The SEC is requesting public comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections.
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ArticleSEC to hold roundtable on public marketplace
Coming this summer: An SEC roundtable for the public and SEC staff to discuss short-term and long-term management, the periodic reporting system, and SEC regulations.
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ArticleSEC proposes actions to bolster cross-border swap rules
The SEC has proposed a package of rule amendments and guidance for improving the regulation of cross-border swaps transactions.
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ArticleSEC proposes new disclosures for acquisitions, dispositions
The SEC has proposed steps to improve the information investors receive regarding the acquisition and disposition of businesses.
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ArticleCommissioners speak to SEC’s past, and future
Top officials at the SEC shared their agendas and future priorities at the recent SEC Speaks conference. Chairman Jay Clayton gave “a look at the SEC through the eyes of management,” and Commissioner Elad Roisman spoke of “encouraging smaller entrants to capital markets.”
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ArticleSEC adopts amendments, MD&A changes to simplify disclosures
The SEC has adopted amendments to Regulation S-K disclosure requirements and MD&A filings that are intended to improve the readability of company disclosures and to discourage repetition and immaterial information.
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ArticleDisclosure reform an idea worth pursuing
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
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ArticleUnfinished business, lingering questions guide regulators into New Year
In 2019, regulators look to build on initiatives that began last year while tackling increased political tensions.
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ArticleSEC enforcement priorities for 2019
The Securities and Exchange Commission has set out a demanding enforcement agenda for 2019. At the top of its list: retail investors and cyber-related misconduct.
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Blog
SEC requires companies to move filings to inline XBRL
The SEC will require companies to integrate their XBRL and static financial statement data into a single filing beginning in 2019 for the largest entities.
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Blog
Big 4 firms audit fewer companies, analysis shows
Big 4 firms are performing fewer public company audits as the number of public companies continues to decline, according to Audit Analytics.
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Article
SEC: Forget ‘broken windows’ policy of the past
Moving away from a past focus on minor infractions, SEC Chairman Jay Clayton wants his enforcement division to buckle down on bigger matters.
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Article
Trump’s picks for SEC slowly set their agenda
SEC Chairman Jay Clayton and relatively new Commissioners Robert Jackson and Hester Peirce are starting to pick their battles and set priorities.
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Blog
Clayton promises public outreach for SEC’s fiduciary rule
SEC Chairman Jay Clayton said his agency will seek public input on a proposed fiduciary rule by supplementing public comments with short forms, multi-city roundtables, and an analysis by the Commission’s Office of the Investor Advocate.
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Article
In M&A, SEC hints at relief over accounting rule differences
M&A deals could become a little more complicated this year as a result of changes in accounting standards and complexity around what needs to be reported.
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Article
Under new leadership, which way will the SEC go?
Big changes are afoot at the SEC, which raises the question of whether this might be the beginning of a big new era in the Commission’s tone, direction, and priorities.
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