6 SEC Regulatory Prospects To Watch In 2019

By Tom Zanki (January 1, 2019, 12:03 PM EST) -- From controversial rules intended to impose a higher standard of conduct on broker-dealers to potential changes to the quarterly reporting system for public companies, the U.S. Securities and Exchange Commission plans to tackle wide-ranging issues in 2019 that could have a lasting impact on long-term investors, a key focus of chairman Jay Clayton's leadership.

Clayton has made protecting retail investors and expanding their investment choices top priorities since taking the helm in 2017. Under his watch, the SEC has introduced a sweeping proposal to clarify so-called best interest standards for broker-dealers, cracked down on fraudulent cryptocurrency offerings and sought to ease...

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