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19 Jan 2023, 3:00 am
A report out yesterday from Cornerstone research points out that in 2022 (the first full year under SEC Chair Gary Gensler), crypto-related enforcement actions increased by 50%. [read post]
17 Jan 2023, 10:29 am
SEC Chair Gary Gensler noted, “Over the past two decades…we’ve heard from courts, commenters, and members of Congress that insiders have sought to benefit from the rule’s liability protections while trading securities opportunistically on the basis of material nonpublic information. [read post]
10 Jan 2023, 9:05 am
SEC Chair Gary Gensler noted, “Over the past two decades…we’ve heard from courts, commenters, and members of Congress that insiders have sought to benefit from the rule’s liability protections while trading securities opportunistically on the basis of material nonpublic information. [read post]
5 Jan 2023, 3:15 am
” (emphasis added) December 8, 2022: Per SEC Chair Gary Gensler on Speaking with Yahoo! [read post]
3 Jan 2023, 1:47 pm
The directors’ and officers’ liability environment is always changing, but 2022 was a particularly eventful year, with important consequences for the D&O insurance marketplace. [read post]
27 Dec 2022, 6:30 am
On November 15, 2022 the Securities and Exchange Commission announced the Division of Enforcement’s results for fiscal year 2022,[1] which ended on September 30, and was the first full year for the Division under the leadership of both Chair Gary Gensler and Director of Enforcement Gurbir Grewal. [read post]
27 Dec 2022, 6:30 am
On November 15, 2022 the Securities and Exchange Commission announced the Division of Enforcement’s results for fiscal year 2022,[1] which ended on September 30, and was the first full year for the Division under the leadership of both Chair Gary Gensler and Director of Enforcement Gurbir Grewal. [read post]
23 Dec 2022, 6:30 am
., on Friday, December 16, 2022 Tags: Corporate governance, Executive Compensation, ISS, Proxy voting, Stewardship, Sustainability Statement by Chair Gensler on PCAOB’s Determinations Regarding Public Accounting Firms in China Posted by Gary Gensler, U.S. [read post]
23 Dec 2022, 6:30 am
., on Friday, December 16, 2022 Tags: Corporate governance, Executive Compensation, ISS, Proxy voting, Stewardship, Sustainability Statement by Chair Gensler on PCAOB’s Determinations Regarding Public Accounting Firms in China Posted by Gary Gensler, U.S. [read post]
22 Dec 2022, 6:04 am
This is in part because there isn’t a level playing field among different parts of the market: wholesalers, dark pools, and lit exchanges,” said SEC Chairman Gary Gensler in a statement. [read post]
20 Dec 2022, 6:22 am
While both consider the determination a positive step, SEC Chair Gary Gensler said much work remains, while Commissioner Jaime Lizárraga encouraged Congress to shorten the clock for mandatory delisting from three years to two.The PCAOB conducted thorough and systematic testing to determine that all three criteria for complete access were achieved. [read post]
16 Dec 2022, 9:02 pm
Gary Gensler, chair of the SEC, warned the public against listening to endorsements about investment advice. [read post]
16 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, EDGAR, MNPI, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, EDGAR, MNPI, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Gary Gensler, U.S. [read post]
Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements
15 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements
15 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
14 Dec 2022, 5:12 am
The SEC said Bankman-Fried engaged in ever-larger diversions of FTX customer funds to prop up Alameda, which diversions took several forms, including: (1) telling FTX customers to deposit fiat currency in bank accounts under Alameda’s control; and (2) permitting Alameda to draw from a “virtually limitless ‘line of credit’” at FTX.According to SEC Chair Gary Gensler, commenting via press release, “[t]he alleged fraud committed by Mr. [read post]
29 Nov 2022, 3:15 am
BlockFi’s attempt to discharge this debt may not do the industry any favors with SEC Chair Gary Gensler – who was profiled by the NYT last week as the “Crypto Nemesis” – but at this point, maybe there’s nothing to lose. [read post]
