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10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
7 Jun 2023, 7:13 pm
House of Representatives this week revealed that companies had desperately sought the agency’s help to properly register but were turned away.SEC Chair Gary Gensler has a go-to crypto [...] [read post]
30 Jun 2021, 11:05 am
Yesterday, Chair Gary Gensler and Investor Advocate Rick Fleming hosted a roundtable discussion with the students and faculty of the University of Texas at Arlington's Department of Finance and Real Estate. [read post]
18 Jul 2022, 1:20 pm
The Securities and Exchange Commission today announced that Jaime Lizárraga has been sworn into office as a Commissioner by Chair Gary Gensler. [read post]
23 Jul 2021, 12:55 pm
House Appropriations Committee (SEC Chair Gary Gensler)NYS Court Finds No Employment Status at AXAIn the Matter of the Claim of Dennis Lee, Appellant. [read post]
8 Jul 2009, 2:32 am
CFTC Chairman Gary Gensler [official profile] said that the different regulatory treatment given to agriculture commodities, for which the CFTC [read post]
29 Oct 2021, 11:44 am
FINRA Chair Murray Ironically Argues Against Self Regulation (BrokeAndBroker.com Blog)SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud (SEC Release)Penfield Man Going To Prison For Bilking Investors Out Of Hundreds Of Thousands Of Dollars (DOJ Release)Shareholder Proposals: Staff Legal Bulletin No. 14L (SEC Division of Corporation Finance)Statement regarding Shareholder Proposals: Staff Legal Bulletin No. 14L (Statement by SEC Chair… [read post]
2 Oct 2021, 7:52 am
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler / Oct. 5, 2021 (BrokeAndBroker.com Blog)Two New Jersey Men Arrested And Charged With Securities Fraud For Scheme To Defraud Investors In Hemp Company / Vitaly Fargesen and Igor Palatnik Misappropriated Approximately $4 Million of Investor Funds (DOJ Release)SEC Charges Hemp Company and Co-Founders With Fraud (SEC Release)... [read post]
29 Apr 2022, 3:50 pm
In addition to the events, Chair Gary Gensler…Read the Full Press ReleaseHave a securities law question? [read post]
7 Nov 2022, 11:30 am
Amanda Fischer, currently Senior Counselor to Chair Gary Gensler, will be appointed Chief of Staff, effective…Read the Full Press ReleaseHave a securities law question? [read post]
24 Aug 2022, 11:35 am
“We can’t take our leadership in capital markets for granted,” said SEC Chair Gary Gensler. [read post]
1 Apr 2024, 10:00 am
With Conference Featuring SEC Chair Gary Gensler Daily Report, Georgia... [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]
27 Sep 2021, 8:33 am
By Lene Powell, J.D.In a panel at a recent securities conference, former SEC division heads discussed SEC Chair Gary Gensler’s rulemaking agenda and staff appointments. [read post]
2 Mar 2023, 9:01 pm
These remarks were delivered on March 2, 2023, by Gary Gensler, chair of the U.S. [read post]
24 May 2022, 6:30 am
Earlier this week, SEC Chair Gary Gensler gave the keynote address for an investor briefing on the SEC Climate Disclosure Rule presented by nonprofit Ceres. [read post]
10 Nov 2021, 2:10 pm
From the outset of his time in office, SEC Chair Gary Gensler has made it clear that establishing oversight of crypto assets represent one his priorities. [read post]
24 May 2022, 6:30 am
Earlier this week, SEC Chair Gary Gensler gave the keynote address for an investor briefing on the SEC Climate Disclosure Rule presented by nonprofit Ceres. [read post]
11 Aug 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
31 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
