Tag: Jay Clayton
SEC COVID-19 Market Monitoring Group Update
SEC COVID-19 Market Monitoring Group Update May 19, 2020 Following inquiries about its work, SEC Chairman Jay Clayton and Chief Economist S.P. Kothari issued an update on the efforts...
May 19, 2020
Tags: Coronavirus, COVID-19, FSOC, Jay Clayton, Systemic Risk
Following Clayton’s Departure, Elad Roisman Named Acting Chairman of the SEC
Following Clayton’s Departure, Elad Roisman Named Acting Chairman of the SEC December 29, 2020 President Trump has designated Commissioner Elad Roisman as Acting Chairman of the SEC, following the...
December 29, 2020
Tags: Elad Roisman, Jay Clayton
President Trump Signs Holding Foreign Companies Accountable Act; SEC Issues Findings on Emerging Markets Fund Disclosures December 21, 2020 President Trump has signed into law the Holding Foreign Companies...
December 21, 2020
Tags: Disclosure, Jay Clayton, Mutual Funds, PCAOB, SEC Investment Management
Agencies Announce More Leadership Changes
Agencies Announce More Leadership Changes December 10, 2020 CFTC Chairman Heath Tarbert CFTC Chairman Heath Tarbert has announced that he plans to leave the CFTC early in 2021, after...
December 10, 2020
Tags: CFTC, Heath Tarbert, Jay Clayton, SEC Appointments, Stephanie Avakian
SEC Adopts Reforms for Closed-End Fund and BDC Offerings
SEC Adopts Reforms for Closed-End Fund and BDC Offerings April 17, 2020 The SEC has adopted rules that will streamline the registration, communications, and offering processes for registered closed-end...
April 17, 2020
Tags: Jay Clayton, Registered Funds
SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams
SEC’s AMAC Discusses COVID-19 Impact, Outlines ESG, Private Investment Work Streams May 29, 2020 In its second meeting since its formation, the SEC’s Asset Management Advisory Committee (AMAC) met...
May 29, 2020
Tags: Money Market Funds, AMAC, Coronavirus, COVID-19, Dalia Blass, Electronic Delivery, ESG, ETFs, Jay Clayton, Private Funds, Private Offerings
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies June 3, 2020 Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and...
June 03, 2020
Tags: Form ADV, Allison Herren Lee, Disclosure, ESG, Form CRS, Hester Peirce, IAC, Jay Clayton
DOL Confirms DC Plans May Offer Options that Include Private Equity Investments
DOL Confirms DC Plans May Offer Options that Include Private Equity Investments June 9, 2020 The Department of Labor recently issued an Information Letter, in response to a request,...
June 09, 2020
Tags: DOL, ERISA, Fiduciary, Jay Clayton, Private Equity
SEC’s Asset Management Advisory Committee Holds Special Meeting to Discuss Diversity and Inclusion, Data Privacy and Technology July 23, 2020 The SEC’s Asset Management Advisory Committee held a special...
July 23, 2020
Tags: FinTech, Privacy, AMAC, Dalia Blass, Diversity & Inclusion, Elad Roisman, Jay Clayton
SEC Fines Adviser $40 Million for Lack of Disclosure in Connection With Teachers’ Retirement Plans and Share Class Selection SEC Chair Clayton Reminds Public of Initiative to Protect Teachers’ Retirement...
August 11, 2020
Tags: 12b-1 Fees, Best Execution, Conflicts of Interest, Jay Clayton, Mutual Funds, Retirement Plans, Revenue Sharing, SEC Enforcement, Share Class Disclosure, Wrap Fees
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