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21 May 2024, 12:35 pm
Securities and Exchange Commission Chair Gary Gensler today issued the following statement on the conversion of the U.S. securities market to a T+1 standard settlement cycle, which will take place on May 28, 2024: “For everyday investors who sell their…Read the Full Press Release Have a securities law question? [read post]
20 May 2024, 3:00 am
Last week, the SEC announced that Corey Klemmer, most recently the Corporation Finance Counsel to Chair Gary Gensler, has been appointed as Policy Director. [read post]
17 May 2024, 12:27 pm
"Over the last 24 years, the nature, scale, and impact of data breaches has transformed substantially," SEC Chair Gary Gensler said. [read post]
17 May 2024, 7:45 am
Corey Klemmer, most recently the Corporation Finance Counsel to Chair Gary Gensler, has been appointed Policy Director. [read post]
17 May 2024, 6:42 am
“Providing accessible, usable, aggregated data to the public is a critical part of the SEC’s role,” said SEC Chair Gary Gensler in a release. [read post]
17 May 2024, 6:31 am
Posted by Gary Gensler, U.S. [read post]
17 May 2024, 6:31 am
Posted by Gary Gensler, U.S. [read post]
16 May 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
15 May 2024, 5:58 am
BSA-1 (May 13, 2024)).SEC Chair Gary Gensler said the proposed rule is designed to make it more difficult to use false identities to establish customer relationships with investment advisers. [read post]
10 May 2024, 7:26 am
By Suzanne CosgroveWhile small and early-stage businesses often begin as start-ups funded with the help of friends and family, achieving “real success” often outstrips those friends’ and families’ available capital, said SEC Chairman Gary Gensler. [read post]
2 May 2024, 4:37 pm
As I noted in a post on this site at the time, last December, SEC Chair Gary Gensler specifically warned against AI-related misrepresentations, and cautioned reporting companies against so-called “AI-washing,” echoing concerns about climate change-related “greenwashing,” and referring to companies that attempt to burnish their investment profile with outsized claims about their AI-related opportunities. [read post]
1 May 2024, 6:30 am
The changes to the reporting requirements mandated by the amendments to the Form (“Form PF Amendments”) will require substantial preparation by many managers.[1] The Form PF Amendments are designed to enhance both the SEC’s and the Financial Stability Oversight Council’s (“FSOC”) monitoring of systemic risk, and strengthen the regulatory oversight of private funds and investor protection efforts.[2] The Form PF Amendments were jointly adopted by the SEC and CFTC… [read post]
1 May 2024, 6:30 am
The changes to the reporting requirements mandated by the amendments to the Form (“Form PF Amendments”) will require substantial preparation by many managers.[1] The Form PF Amendments are designed to enhance both the SEC’s and the Financial Stability Oversight Council’s (“FSOC”) monitoring of systemic risk, and strengthen the regulatory oversight of private funds and investor protection efforts.[2] The Form PF Amendments were jointly adopted by the SEC and CFTC… [read post]
26 Apr 2024, 12:59 pm
On April 4, Senator Charles Grassley (R-IA), Ranking Member of the Senate Committee on the Budget, wrote a letter to Gary Gensler, the Chair of the Securities and Exchange Commission (SEC), expressing concerns about delays and lack of transparency in the agency’s whistleblower compensation. [read post]
25 Apr 2024, 6:00 am
In addition to potentially misleading consumers and harming investors, this can break U.S. securities law, according to Gary Gensler, chair of the Securities and Exchange Commission. [read post]
24 Apr 2024, 10:42 am
The rapid surge in popularity of the SPAC IPO was, and is, of great concern to SEC Commissioner, Gary Gensler, who feels that the SPAC IPOs are being used to circumvent “time-tested investor protections. [read post]
23 Apr 2024, 7:02 am
Jay Powell and Gary Gensler are too disinterested or busy to follow the law and do their jobs, so you’re in the clear. [read post]
18 Apr 2024, 9:01 pm
It also means reviewing speeches like Chair Gensler’s recent speech on AI, which highlighted multiple other ways in which a firm’s AI use may heighten risk or implicate the federal securities laws.[15] He specifically discussed the conflicts of interests raised by AI for advisers, the problems presented by AI hallucinations, and the threat that AI could pose to the stability of our markets. [read post]
7 Apr 2024, 9:05 pm
Securities and Exchange Commission Chair Gary Gensler interpreted the FAIRR Act as proposing to impose a strict liability standard. [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]
