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12 Mar 2023, 6:30 am
During Chair Gary Gensler’s and Director of Enforcement Gurbir Grewal’s second year of leadership, several key enforcement priorities came into focus that will impact businesses across sectors. [read post]
10 Mar 2023, 8:17 am
Wells Fargo Won’t Refund Stolen Gov’t Payments, Suit AllegesLaw360 – March 9, 2022 (subscription required) All in all, this wasn’t a very good week for Securities and Exchange Commission Chairman Gary Gensler’s fight to win regulatory control over cryptocurrencies. [read post]
8 Mar 2023, 6:14 am
”The letter also criticized current SEC Chair Gary Gensler for, in the drafters’ view, deviating in recent rulemakings from a more principles-based approach to public company disclosures to a more prescriptive approach. [read post]
6 Mar 2023, 7:52 am
In a pre-session statement, SEC Chairman Gary Gensler did not directly address possible changes in customer account rules but highlighted a recently proposed safeguarding rule for investment advisers that would expand the current 2009 custody rule.The SEC’s current custody rule covers a significant amount of crypto assets, Gensler said. [read post]
5 Mar 2023, 1:24 pm
The press release quotes SEC Chair Gary Gensler as saying that the action against Peizer “comes the same week that updates amendments to Rule 10b5-1 become effective. [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]
1 Mar 2023, 12:59 pm
Peizer violated Rule 10b5-1 as it has existed for two decades by establishing and executing trading plans while aware of non-public information,” said SEC Chair Gary Gensler. [read post]
1 Mar 2023, 5:07 am
,” the firm wrote in a memorandum in opposition to the motion to dismiss.The firm added that it will stop using the Ethereum Network and Ether DCU if such use constitutes unregistered securities transactions under the Federal Securities Act of 1933 (the “Securities Act”).As evidence of regulatory uncertainty, the firm said that SEC Chair Gary Gensler recently stated in an interview with New York Magazine that “everything other than bitcoin” is a… [read post]
21 Feb 2023, 9:22 am
"OCC is the sole registered clearing agency for exchange listed option contracts in the United States," said Chairman Gary Gensler in a statement released Thursday. [read post]
16 Feb 2023, 9:05 pm
The proposed changes would reflect updates in technology and clarify how the public can access personal records that the SEC maintains, said SEC Chair Gary Gensler. [read post]
16 Feb 2023, 9:01 pm
This statement was issued on February 15, 2023, by Gary Gensler, chair of the U.S. [read post]
15 Feb 2023, 9:01 pm
This statement was issued on February 15, 2023, by Gary Gensler, chairman of the U.S. [read post]
15 Feb 2023, 7:41 am
“I am pleased to support this proposal because, if adopted, it would broadly update our Privacy Act rules to account for modern technology, as well as provide the public with greater transparency into the Commission's use of this data,” SEC Chair Gary Gensler said. [read post]
13 Feb 2023, 9:05 pm
The head of the federal securities regulator, Gary Gensler, has announced plans to overhaul regulation of the U.S. stock market, sparking contentious debate among lawmakers and prompting threats of litigation by industry executives. [read post]
13 Feb 2023, 10:27 am
According to the SEC’s rulemaking agenda, SEC Chairman Gary Gensler intends to amend the accredited investor definition by increasing the annual income and net worth thresholds. [read post]
13 Feb 2023, 7:28 am
By Mark S. [read post]
13 Feb 2023, 5:59 am
In the following guest post, Brian Baney, Senior Vice President, Head of Management and Professional Liability Claims, Ascot Group, Peter Trochev, Senior Vice President, Financial Institutions, Ascot Group, Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC, survey the current risk environment for private equity firms. [read post]
7 Feb 2023, 9:05 pm
Under Chair Gary Gensler, the U.S. [read post]
7 Feb 2023, 9:01 pm
These remarks were delivered on February 7, 2023, by Gary Gensler, chair of the U.S. [read post]
31 Jan 2023, 1:10 pm
To mark the occasion, SEC Chair Gary Gensler discussed the significance of this milestone in an official SEC YouTube video. [read post]
