Securities Docket

“This is an example of an area where flexibility is necessary,” Clayton said, according to his prepared remarks. “I expect that for at least the next several years we will need to do more each year to increase the agency’s examination coverage of investment advisers in light of continuing changes in the markets.” He did […]

But the markets are asking questions. What can we expect from Clayton? How will he manage all the proposals and policies vying for his attention? And equally important, what happens if the agency doesn’t secure the requisite appropriations, and finds itself unable to invest in the right people and technology to protect U.S. investors? As […]