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23 Sep 2021, 8:41 am
By John Filar AtwoodIn a letter to SEC Chair Gary Gensler, several industry groups urged the SEC to review stablecoins such as USD Coin and Thether and other digital assets to ensure they are complying with the federal securities laws. [read post]
21 Sep 2021, 6:13 am
By Amanda Maine, J.D.While much of SEC Chair Gary Gensler’s recent testimony before the Senate Banking Committee involved spirited back-and-forth conversations about the SEC’s role in regulating cryptocurrency and mandating ESG disclosure, the debate about payment for order flow (PFOF), especially in the wake of recent market volatility involving mobile trading apps, was also a hot topic. [read post]
17 Sep 2021, 5:45 am
Shields (Chapman University), and Gregory Waymire (Emory University), on Friday, September 10, 2021 Tags: Behavioral finance, Financial reporting, Information environment, Management, Oversight, Reputation Remarks by Chair Gensler Before the Investor Advisory Committee Posted by Gary Gensler, U.S. [read post]
15 Sep 2021, 6:16 am
Posted by Gary Gensler, U.S. [read post]
15 Sep 2021, 3:22 am
SEC Chair Gary Gensler testified yesterday before the Senate Committee on Banking, Housing and Urban Affairs. [read post]
14 Sep 2021, 3:15 am
The catch is that Coinbase would then be subject to banking regulations, which it probably doesn’t want. [read post]
10 Sep 2021, 1:27 pm
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries (BrokeAndBroker.com Blog)Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs by SEC Chair Gary GenslerSEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay More Than $539 Million in Settlement for Distribution to Investors (SEC Release)SEC Requests Briefing on Alleged FINRA Denial of Service in ExpungementsIn the Matter of… [read post]
10 Sep 2021, 1:27 pm
SEC Permanently Bars Frivolous Claimant from Whistleblower Program(BrokeAndBroker.com Blog)Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs by SEC Chair Gary GenslerSEC Charges App Annie and its Founder with Securities Fraud / Company Will Pay $10 Million to Settle First Enforcement Action Against Alternative Data Provider (SEC Release)SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay… [read post]
9 Sep 2021, 9:13 pm
That is, if I have $100 and you have $100 and Gary Gensler has $100, our money might be pooled together to make a $300 loan to Elon Musk. [read post]
3 Sep 2021, 5:46 am
Davis, Kirkland & Ellis LLP, on Saturday, August 28, 2021 Tags: Delaware cases, Delaware law, Due diligence, Joint ventures, Merger litigation, Mergers & acquisitions, New York, Non-competition agreements, State law Statement by Chair Gensler on Broker-Dealer and Investment Adviser Digital Engagement Practices Posted by Gary Gensler, U.S. [read post]
26 Aug 2021, 8:58 am
Andrew Cuomo signed a bill Thursday aimed at helping consumers avoid bank overdraft fees. [read post]
26 Aug 2021, 8:58 am
Andrew Cuomo signed a bill Thursday aimed at helping consumers avoid bank overdraft fees. [read post]
18 Aug 2021, 6:00 am
Gary Sarkozi (her dissertation chair) who led Edwards into the area of virtual technology and guided her to working with the School of Government and Public Affairs. [read post]
13 Aug 2021, 10:15 am
Gensler stressed that crypto trading platforms, lending platforms, and other “decentralized finance” platforms (DeFi) implicate securities, commodities, and banking laws. [read post]
12 Aug 2021, 8:39 am
The US Attorney’s Office for the Southern District of New York also indicted several BitMEX founders on charges of willfully causing BitMEX to violate the Bank Secrecy Act and conspiracy to commit that same offense. [read post]
10 Aug 2021, 9:12 am
Senate Banking Committee Chair Sherrod Brown praised the move, saying he applauded the SEC and Nasdaq for recognizing the benefits to companies and shareholders of a more inclusive and equitable economy.Senate Banking Committee Ranking Member Toomey stated that while he supports diversity, the requirements may ultimately harm economic growth and investors. [read post]
9 Aug 2021, 7:50 am
Edited by Gary J. [read post]
8 Aug 2021, 10:58 am
The article also quotes Senator Pat Toomey, the ranking Republican member of the Senate Banking Committee as saying that Chairman Gensler is “turning a financial regulator into a laboratory for progressive social engineering. [read post]
6 Aug 2021, 6:00 am
Eccles (University of Oxford), on Friday, July 30, 2021 Tags: Climate change, Engine No. 1, Environmental disclosure, ESG, ExxonMobil, Institutional Investors, Proxy contests, Shareholder activism, Shareholder voting, Sustainability Trust: A Critical Asset Posted by Don Fancher, Robert Lamm, and Debbie McCormack, Deloitte, on Saturday, July 31, 2021 Tags: Accountability, Board oversight, Boards of… [read post]
5 Aug 2021, 3:30 am
I’ve also asked staff to consider whether there should be certain metrics for specific industries, such as banking, insurance, or transportation. [read post]
