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FTX Warnings vs Madoff Warnings: What was the Difference?
16 Nov 2022, 9:00 am by Philip Segal
The same month, Securities and Exchange Commission Chairman Gary Gensler, in a tussle with the U.S. commodities regulator and members of Congress over who gets to regulate crypto, stated: “If the platform goes down, guess what? [read post]
The Ethical Investigator - http://www.ethicalinvestigator.com/
Remarks by Chair Gensler Before the Investment Adviser/Investment Company National Seminar
16 Nov 2022, 6:45 am
Posted by Gary Gensler, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Remarks by Chair Gensler Before the Investment Adviser/Investment Company National Seminar
16 Nov 2022, 6:45 am
Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC Shifts Focus on Employees’ Off-Channel Business Communications to Investment Advisers
11 Nov 2022, 9:38 am by Michael Gilbert, Bill Mateja, Christopher Bosch, Jason Hoggan, Kathryn Rumsey and Meghan Stuer
Recent news reports have suggested that the SEC may now be targeting investment advisers in its push to police retention of business communications, and SEC Chair Gary Gensler has confirmed that the SEC continues to investigate recordkeeping violations stemming from employees’ use of private communication channels for business. [read post]
Corporate Securities Law Blog - http://www.corporatesecuritieslawblog.com/
While It Waits For That Fee Information, SEC Decides To Have A Look At Private Equity Firms’ Messaging Hygiene
11 Nov 2022, 8:47 am by Jon Shazar - Dealbreaker
We’re guessing Gary Gensler, et. al. suspect it’s not so good. [read post]
Above the Law - http://abovethelaw.com/
Weekly Roundup: November 4-11, 2022
11 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: November 4-11, 2022
11 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
What will be the regulatory fallout of the busted Binance-FTX rescue?
11 Nov 2022, 6:16 am by Unknown
”During Gensler’s “Squawk Box” appearance, Sorkin had asked about a March 29, 2022 entry in Gensler's calendar indicating a meeting Gensler had with Bankman-Fried. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Proposes Private Fund Reform to Protect Investors
9 Nov 2022, 9:03 pm by William Tunney
“Private fund advisers, through the funds they manage, touch so much of our economy,” said SEC Chair Gary Gensler. [read post]
RegBlog - https://www.theregreview.org/
SEC Announces Departure of Chief of Staff Prashant Yerramalli and Appointment of Amanda Fischer to the Role
7 Nov 2022, 11:30 am by Mark Astarita
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]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Enforcement: Gatekeepers in the Crosshairs
7 Nov 2022, 3:15 am by Liz Dunshee
Insider trading is just one of the many topics that the SEC’s Enforcement Division is focused on right now, according to a PLI speech last week from SEC Chair Gary Gensler. [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
Insurance Implications of the SEC’s New Compensation Clawback Rules
6 Nov 2022, 10:27 am by Kevin LaCroix
The press release concerning the rules’ adoption quotes SEC Chair Gary Gensler as saying that the new rules “fulfill Dodd-Frank’s mandate and Congress’s intention to prevent executives from keeping compensation received based on misstated financials. [read post]
The D & O Diary - http://www.dandodiary.com/
Weekly Roundup: October 28-November 3, 2022
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Statement by Chair Gensler on Final Amendments to Form N-PX
3 Nov 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Commission set to revamp open-end funds once again
3 Nov 2022, 6:31 am by Unknown
SEC Chair Gary Gensler suggested that the classification part of the proposal would keep funds honest about which of their assets are truly liquid, analogizing the problem to his inability to classify gummy bears as fruit. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Remarks by Chair Gensler Before the Practising Law Institute’s 54th Annual Institute on Securities
3 Nov 2022, 6:30 am
Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Statement by Chair Gensler on Proposed Amendments Regarding Service Providers Oversight
31 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Massive SEC Fines Surged During the Most Recent Fiscal Year
30 Oct 2022, 11:31 am by Kevin LaCroix
As the Journal noted in an October 26, 2022 editorial (here), the SEC under Chair Gary Gensler has been issuing regulations “at a furious pace. [read post]
The D & O Diary - http://www.dandodiary.com/
Statement by Chair Gensler on Final Rules Regarding Clawbacks of Erroneously Awarded Compensation
30 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Statement by Chair Gensler on Final Rule Amendments Regarding Shareholder Reports
29 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu