Jay Clayton

SEC Fines, Disgorgement Hit $3.9B in 2018
Risk & Compliance

SEC Fines, Disgorgement Hit $3.9B in 2018

The agency "continues to be extremely successful in its efforts to deter bad conduct and effectively remedy harm to investors."
By Matthew Heller | November 5, 2018
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More Issuers Will Qualify as a ‘Smaller Reporting Company’
Risk & Compliance

More Issuers Will Qualify as a ‘Smaller Reporting Company’

Amendments to the SRC rules will allow about 1,000 additional companies to qualify for scaled-down disclosure requirements.
By Vincent Ryan | June 29, 2018
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How to Manage Cyber-Whistleblower Risk
Technology

How to Manage Cyber-Whistleblower Risk

Companies should pay specific attention to risks arising from the increasingly common whistleblower complaints regarding data breaches and cybersecurity.
By Brian Fleming and William Barry | March 8, 2018
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SEC Chairman Seeks Proxy Inquiry
Risk & Compliance

SEC Chairman Seeks Proxy Inquiry

Jay Clayton seems to want to pay as much attention to corporate prerogatives as he does to shareholder demands.
By David Katz | November 8, 2017
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SEC Endorses Simplification of Disclosure Rules
Risk & Compliance

SEC Endorses Simplification of Disclosure Rules

The commission is seeking to help investors make informed choices "without imposing unnecessary burdens of time and money on issuers."
By Matthew Heller | October 12, 2017
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SEC Eases Compliance with Pay Ratio Rule
Risk & Compliance

SEC Eases Compliance with Pay Ratio Rule

Despite new guidance on how to calculate the ratio, questions as to the rule's usefulness persist.
By David McCann | September 26, 2017
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SEC Discloses 2016 Hack of EDGAR System
Technology

SEC Discloses 2016 Hack of EDGAR System

The commission says cybercriminals obtained access to nonpublic information and may have used it to make illicit trades.
By Matthew Heller | September 21, 2017
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Chamber Urges SEC to Nix Auditor Disclosure Rule
Regulation

Chamber Urges SEC to Nix Auditor Disclosure Rule

The Public Company Accounting Oversight Board’s proposal would spawn confusion and liability, according to the U.S. Chamber of Commerce.
By David Katz | August 16, 2017
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A Vote of Confidence for the PCAOB?
Regulation

A Vote of Confidence for the PCAOB?

SEC Chairman Jay Clayton praises James Doty’s decision to stay on while the PCAOB starts to fill four vacant posts.
By David Katz | August 14, 2017
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Trump’s SEC Pick Jibes with Deregulatory Agenda
Risk & Compliance

Trump’s SEC Pick Jibes with Deregulatory Agenda

Hester Peirce's views on the DOL Fiduciary Rule and the JOBS Act match those of SEC Chairman Jay Clayton.
By David Katz | July 19, 2017
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SEC Chair Says Disclosure Burden Excessive
Risk & Compliance

SEC Chair Says Disclosure Burden Excessive

Increased disclosure "may render alternatives for raising capital, such as the private markets, increasingly attractive to companies," Jay Clayton says.
By Matthew Heller | July 12, 2017
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Lawyer to Head SEC Corporate Finance Unit
Risk & Compliance

Lawyer to Head SEC Corporate Finance Unit

New SEC chief Jay Clayton names Silicon Valley attorney William Hinman to lead the critical division that oversees public company filings.
By Matthew Heller | May 10, 2017
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Senate Confirms Jay Clayton as SEC Chair
Risk & Compliance

Senate Confirms Jay Clayton as SEC Chair

The lawyer says he will be tough on "bad actors" but a Democrat calls him “one of Wall Street’s most loyal guardians.”
By Matthew Heller | May 3, 2017
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In Accounting Swan Song, SEC’s White Urges Convergence
Revenue Recognition

In Accounting Swan Song, SEC’s White Urges Convergence

Outgoing SEC Commissioner Mary Jo White encourages FASB and IASB to continue collaboration.
By David Katz | January 6, 2017
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Trump Names Wall Street Lawyer to Head SEC
Risk & Compliance

Trump Names Wall Street Lawyer to Head SEC

Jay Clayton, who has spent decades defending large banks, would become another Trump appointee with longstanding Wall Street ties.
By Matthew Heller | January 4, 2017
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