Search for: "GARY SHEETS"
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16 May 2024, 9:01 pm
It turns out LTCM had approximately $1.2 trillion in derivatives and a $100-plus billion balance sheet backed by only $4-$5 billion of net asset value. [read post]
17 Apr 2024, 7:05 am
For more information about that entity’s role, see number 10 above, Gary Farro. [read post]
4 Apr 2024, 6:02 am
By Suzanne CosgroveSEC Chair Gary Gensler Tuesday outlined his view of the agency’s long-term mission, calling U.S. capital markets “a national asset” and defending a series of recent Commission proposals, including central clearing for U.S. [read post]
28 Mar 2024, 5:11 am
Jason Howard, J.D.The SEC has voted to modernize a 22-year-old rule by adopting amendments that apply to when investment advisers who provide advisory services exclusively over the internet can register with the SEC.In July 2023, the Commission voted 5-0 to issue the internet advisers proposal and, at that time, SEC Chair Gary Gensler explained that in 2002 the SEC granted a narrow exception allowing internet-based advisers to register with the Commission instead of with the states. [read post]
7 Mar 2024, 1:30 am
I’m sharing a high-level overview here — starting with the new Regulation S-K requirements — pulling from the fact sheet. [read post]
4 Jan 2024, 9:05 pm
Chair of the Securities and Exchange Commission (SEC) Gary Gensler stated that: ─ Securities laws and SEC authority “may be implicated depending upon how AI technology is used” (available here). ─ AI “may heighten financial fragility, as it could promote herding[,] encourage monocultures [and] exacerbate the inherent network interconnectedness of the global financial system. [read post]
11 Dec 2023, 10:19 am
SEC Chair Gary Gensler has expressed skepticism about the technology. [read post]
14 Nov 2023, 9:01 pm
“The investing public benefits from the Division of Enforcement’s work as a cop on the beat,” said SEC Chair Gary Gensler. [read post]
2 Oct 2023, 6:13 am
“Given the complexity and growing popularity of RILAs, it is important that investors receive the information they need—in plain English—to make informed investment decisions,” said SEC Chair Gary Gensler. [read post]
28 Jul 2023, 12:43 pm
As quoted in the SEC’s press release, SEC Commissioner Gary Gensler noted that many public companies already make cybersecurity disclosures to investors, and the Final Rule provides uniformity and structure for these future disclosures. [read post]
27 Jul 2023, 9:11 am
According to SEC Chair Gary Gensler, modern predictive data analytics models allow an increasing ability to make predictions about each of us as individuals. [read post]
13 Jul 2023, 5:22 am
“Given the speed, scale, and volume of today’s market activity, I believe customers would benefit if broker-dealers carrying large credit balances made daily reserve account calculations and deposits,” said SEC Chair Gary Gensler.Current requirements. [read post]
23 May 2023, 9:05 pm
As senator Gary Peters – one of the authors of the Dodd-Frank Act – wrote to regulators including Gary Gensler and Jay Powell in March: Section 956 of Dodd-Frank was intended to require financial regulators to quickly and collaboratively issue rules requiring financial institutions to disclose any incentive-based executive compensation arrangements that encourage excessive risk-taking at financial institutions or that may lead to financial loss. [read post]
23 May 2023, 9:01 pm
I am pleased to welcome everyone to the Division of Investment Management’s inaugural Conference on Emerging Trends in Asset Management. [read post]
21 May 2023, 9:01 pm
On Feb. 13, 2023, apparent rodent excreta pellets with a black, dull, and hard appearance, too numerous to count, inside an enclosed shelf under the (redacted) behind boxes containing icing piping bags and on a sheet pan used to store RTE brownies prior to slicing. [read post]
16 May 2023, 11:32 am
Gary: Absolutely! [read post]
11 May 2023, 5:22 am
According to a fact sheet, the proposed rule changes would expand the current custody rule to protect a broader array of client assets and advisory activities to the rule’s protections; enhance the custodial protections that client assets receive under the rule; and update related recordkeeping and reporting requirements for advisers. [read post]
2 May 2023, 9:01 pm
The fund had about $1.2 trillion in derivatives, booked in the Cayman Islands, on a $100-plus billion balance sheet, with only about $4-$5 billion of net asset value.[26] Subsequently, I was asked to staff the President’s Working Group review. [read post]
16 Mar 2023, 9:57 am
Investors, issuers, and market participants alike would benefit from knowing that these entities have in place protections fit for a digital age,” Gensler added.The SEC has published a cybersecurity Fact Sheet that summarizes the 530-page proposal and highlights key Rule 10 recommendations. [read post]
13 Feb 2023, 5:59 am
”[x] If there was any doubt about the kinds of “Wall Street firms” President Biden was referring to, the White House issued a fact sheet one day prior to the address, which laid out findings that private equity-owned nursing facilities caused cost increases for government payers coupled with a deterioration in the quality of care. [read post]
