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SEC Whistleblower Program had a Record-Setting 2023 Fiscal Year
15 Nov 2023, 9:22 am by Geoff Schweller
The SEC Whistleblower Program was established in 2010 with the passage of the Dodd-Frank Act (DFA). [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
SEC Announces Enforcement Results for Fiscal Year 2023
14 Nov 2023, 9:01 pm by renholding
“The investing public benefits from the Division of Enforcement’s work as a cop on the beat,” said SEC Chair Gary Gensler. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Dodd-Frank Act Programs Have Awarded over $2 Billion to Whistleblowers
14 Nov 2023, 9:04 am by Geoff Schweller
” In 2022, SEC Chair Gary Gensler noted that the whistleblower program “has greatly aided the Commission’s work to protect investors. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
SEC Chair Gensler on Registration of Security-Based Swap Execution Facilities
2 Nov 2023, 9:01 pm by renholding
This statement was issued on November 2, 2023, by Gary Gensler, chair of the U.S. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Weekly Roundup: October 20-26, 2023
27 Oct 2023, 6:30 am
Posted by Lindsey Stewart, Morningstar, Inc, on Thursday, October 26, 2023 Tags: Big Three, ESG, Proxy voting, SEC Remarks by Chair Gensler Before the 2023 Securities Enforcement Forum Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: October 20-26, 2023
27 Oct 2023, 6:30 am
Posted by Lindsey Stewart, Morningstar, Inc, on Thursday, October 26, 2023 Tags: Big Three, ESG, Proxy voting, SEC Remarks by Chair Gensler Before the 2023 Securities Enforcement Forum Posted by Gary Gensler, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Received Record Number of Whistleblower Tips in 2023 Fiscal Year
25 Oct 2023, 3:45 pm by Geoff Schweller
On October 25, Gary Gensler, Chair of the U.S. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
The President’s Taunt to Show Him the Money May Have Just Backfired
23 Oct 2023, 4:24 am by jonathanturley
Joe Biden (D-Del.) to ask for his help in getting Frank to accept responsibility and pay up. [read post]
Jonathan Turley - https://jonathanturley.org/
Weekly Roundup: October 13-19, 2023
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Enron, Rule 13f-2, SEC, Section 13(f)(2) Statement by Chair Gensler on Final Rules Regarding Short Sale Activity Posted by Gary Gensler, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: October 13-19, 2023
20 Oct 2023, 6:30 am
Securities and Exchange Commission, on Saturday, October 14, 2023 Tags: Enron, Rule 13f-2, SEC, Section 13(f)(2) Statement by Chair Gensler on Final Rules Regarding Short Sale Activity Posted by Gary Gensler, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC adopts rule enhancing securities lending transparency
16 Oct 2023, 7:48 am by Unknown
This rulemaking fulfills a Dodd-Frank Act mandate to increase the transparency of information available to brokers, dealers, and investors. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Chair on Final Rules Regarding Short Sale Activity
15 Oct 2023, 9:03 pm by renholding
This statement was issued on October 13, 2023, by Gary Gensler, chair of the U.S. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Statement by Chair Gensler on Final Rules Regarding Short Sale Activity
14 Oct 2023, 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 Rules Regarding Short Sale Activity
14 Oct 2023, 6:32 am
Posted by Gary Gensler, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Chair Gensler Supports Final Rules on Beneficial Ownership
10 Oct 2023, 9:03 pm by renholding
This statement was issued on October 10, 2023, by Gary Gensler, chair of the U.S. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Gensler faces down often hostile members of House Committee on Financial Services
29 Sep 2023, 7:55 am by Unknown
There were also items exercising new authorities granted under Dodd-Frank. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Commissioner Speaks on Trans-Atlantic Effort to Strengthen Market Oversight
14 Sep 2023, 9:01 pm by renholding
Under the leadership of SEC Chair Gary Gensler, we are advancing a series of reforms to strengthen oversight of our financial markets. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC Chair Testifies Before U.S. Senate Committee on Banking, Housing, and Urban Affairs
12 Sep 2023, 9:01 pm by renholding
There were also items exercising new authorities granted under Dodd-Frank. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Statement by Chair Gensler on Private Fund Advisers
24 Aug 2023, 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 Private Fund Advisers
24 Aug 2023, 6:32 am
Posted by Gary Gensler, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/