SEC Chairman Clayton reflects back on his years at the Commission

"The totality was a package of rules and interpretations that will enhance the quality and transparency of retail investors’ relationships with broker-dealers and investment advisers.  There is a reason that this project had been talked about for years but never accomplished—it was an incredibly difficult undertaking, involving many entrenched interests"

To read this article, you need to sign in.


You should only be asked to sign in once. Not the case? Click here


New to Regulatory Compliance Watch?

Register now to read this article and more for free.