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11 May 2023, 9:01 pm
May 27 marks 90 years since President Franklin Roosevelt signed the first of the federal securities laws: the Securities Act of 1933.[1] On that same day, the 1933 Chicago World’s Fair began.[2] In a statement for the grand opening, Roosevelt inaugurated “a century of even greater progress. [read post]
7 May 2023, 6:00 am
Even in the early days, there were disputes about what this phrase meant. [read post]
5 May 2023, 6:32 am
Posted by Gary Gensler, U.S. [read post]
5 May 2023, 6:32 am
Posted by Gary Gensler, U.S. [read post]
5 May 2023, 4:00 am
Lobbyists will be required to register and report their activities no later than 10 days after a meeting has taken place with a public officeholder. [read post]
4 May 2023, 9:02 am
Defending the changes, SEC Chair Gary Gensler noted that in the 12 years since the Commission first adopted Form PF in 2011, “private funds have evolved significantly in their business practices, complexity, and investment strategies. [read post]
2 May 2023, 9:01 pm
Beneficial owners of more than 5 percent of a public company’s equity securities who have control intent have 10 days to report ownership.[20] Today, markets move dramatically faster. [read post]
28 Apr 2023, 3:02 am
Bruce Ritchie and Gary Fineout report for POLITICO. [read post]
26 Apr 2023, 7:30 am
Gary Boyd, misdiagnosed Pierce with an anatomical abnormality that would make surgical treatment impossible. [read post]
25 Apr 2023, 10:00 pm
Gary D. [read post]
23 Apr 2023, 9:01 pm
The length of comment periods has averaged more than 70 days from when we put a proposal on the SEC website. [read post]
21 Apr 2023, 11:38 am
Around the world, whistleblowers are key to protecting the environment, a fact that whistleblower advocates highlight each Earth Day. [read post]
21 Apr 2023, 4:00 am
Among the spending under scrutiny by the Justice Department’s Office of Inspector General is $4.7 million for “strategic planning and communication” and other contracts that were used to hire people Milgram knew from her days as New Jersey’s attorney general and as a New York University law professor at costs far exceeding pay for government officials. [read post]
20 Apr 2023, 9:05 pm
SEC Reforms to Rule 10b5-1 for Share Buybacks The SEC adopted rules on December 14, 2022 that set out new requirements for the safe harbor, with companies (other than smaller reporting companies) required to comply with the new disclosure requirements in their filings for the first full fiscal period beginning on 1 April 2023.[7] The new amendments include: A cooling-off period for directors and officers of 90 days following the adoption of the Rule 10b5-1 Trading Arrangement or two… [read post]
19 Apr 2023, 3:30 am
Warren Davidson (R-OH) still hasn’t introduced his “Fire Gary Gensler Act of 2023. [read post]
17 Apr 2023, 5:00 am
“In closing this regulatory gap, this proposal would promote resiliency and greater access in our $24 trillion Treasury markets as well as in other marketplaces for government securities,” he said.The public comment period for the proposed amendments to Exchange Act Rule 3b-16 will remain open for 30 days after their publication in the Federal Register. [read post]
15 Apr 2023, 4:47 pm
It dismissed its last case on the day of the scheduled hearing on the defendant’s motion to dismiss. [read post]
6 Apr 2023, 12:15 am
Gary Klausner refused to grant Commissioner Hewlett's motion to dismiss both of these claims. [read post]
5 Apr 2023, 9:01 pm
Good afternoon, Chair Womack, Ranking Member Hoyer, and members of the Subcommittee. [read post]
31 Mar 2023, 12:16 pm
Larry the Farting Leprechaun, Gary the Goose and His Gas on the Loose, Freddie the Farting Snowman, and Harvey the Heart Has Too Many Farts by Jane Bexley; h. [read post]
