What to expect from Trump’s SEC nomination
President-elect Donald Trump’s pitch to head the SEC is Jay Clayton, a partner with Sullivan & Cromwell. Joe Mont fields reactions and looks for clues on how he might lead the agency.
Related articles
-
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.
-
Article
What regulation would look like under Mnuchin’s Treasury Department
Steven Mnuchin, President Trump’s nomination for Treasury secretary, shares his regulatory worldview … but what does it mean for compliance? Joe Mont reports.
-
ArticleFINRA fines First Trust $10M for allegedly giving too-generous gifts to brokers
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.