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13 Jul 2012, 8:52 am
In a letter to CFTC Chair Gary Gensler, Senator Charles Grassley (R-Iowa) said that recent developments involving Peregrine Financial Group raise serious concerns over whether the CFTC is properly overseeing the activities of commodity brokerage firms. [read post]
26 Apr 2022, 9:01 pm
Thank you. [read post]
19 Aug 2012, 9:57 am
In a letter to CFTC Chair Gary Gensler, the Bank of Japan and the Financial Services Agency urged the CFTC to broaden the application of substituted compliance for OTC derivatives regulation so that any overlap or conflict with Japanese derivatives regulations can be avoided. [read post]
2 Jun 2021, 3:30 am
Yesterday, in response to a directive from SEC Chair Gary Gensler, Corp Fin announced that: 1. [read post]
17 Jul 2022, 6:23 am
According to SEC Chair Gary Gensler, the “U.S. is blessed with the largest, most sophisticated, and most innovative capital markets in the world….But we cannot take that for granted. [read post]
16 Jan 2024, 3:30 am
On Friday, SEC Chair Gary Gensler issued a statement on the matter, and this excerpt summarizes the SEC’s current understanding of what happened: Based on current information, staff understands that, shortly after 4:00 pm ET on Tuesday, January 9, 2024, an unauthorized party gained access to the @SECGov X.com account by obtaining control over the phone number associated with the account. [read post]
17 Jul 2022, 6:23 am
According to SEC Chair Gary Gensler, the “U.S. is blessed with the largest, most sophisticated, and most innovative capital markets in the world….But we cannot take that for granted. [read post]
9 May 2023, 3:00 am
When SEC Chair Gary Gensler last shared his agenda, John noted that it targeted finalizing several rules in or around Q1: – Climate Change Disclosure (April 2023) – Cybersecurity Risk Governance (April 2023) – Special Purpose Acquisition Companies (April 2023) – Modernization of Beneficial Ownership Reporting (April 2023) – Share Repurchase Disclosure Modernization (April 2023) We’ve already said more than enough today about climate disclosure. [read post]
9 Jul 2021, 7:07 am
"To meet our mission of protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation, the SEC has a lot of regulatory work ahead of us," said SEC Chair Gary Gensler. [read post]
2 Dec 2011, 9:33 am
Senator Shelby also requested that the IG examine whether CFTC Chairman Gary Gensler’s recusal from matters now and in the past are consistent with the agency’s official recusal policy.In the letter, Senator Shelby noted that MF Global is currently subject to a liquidation proceeding initiated by the Securities Investor Protection Corporation (SIPC). [read post]
21 Jul 2011, 8:41 am
In a letter to CFTC Chair Gary Gensler, Chairman Lucas warned that divergent derivatives regulatory regimes for different products and market participants would complicate compliance and impose undue and needless costs on market participants. [read post]
17 Feb 2011, 8:44 am
In a letter to CFTC Chair Gary Gensler, House Agriculture Chairman Chair Frank Lucas (R-OK) urged the CFTC to follow President Obama’s recent executive order on regulations, especially when adopting the regulations under Title VII of Dodd-Frank. [read post]
7 Apr 2011, 9:59 am
In a letter to SEC Chair Mary Schapiro and CFTC Chair Gary Gensler, the Chairs of the principal Congressional committees overseeing the implementation of the Dodd-Frank Act reiterated the critical importance of establishing a regulatory regime that will not create economic disincentives for end-users to access the derivatives markets. [read post]
18 Feb 2022, 6:01 am
Securities and Exchange Commission, on Friday, February 11, 2022 Tags: Beneficial owners, Disclosure, Institutional Investors, Ownership, Schedule 13D, Schedule 13G, SEC, SEC rulemaking, Securities regulation Statement by Chair Gensler on Beneficial Ownership Proposal Posted by Gary Gensler, U.S. [read post]
17 Sep 2021, 5:45 am
Shields (Chapman University), and Gregory Waymire (Emory University), on Friday, September 10, 2021 Tags: Behavioral finance, Financial reporting, Information environment, Management, Oversight, Reputation Remarks by Chair Gensler Before the Investor Advisory Committee Posted by Gary Gensler, U.S. [read post]
17 Jun 2022, 6:27 am
Sandstrom, Center for Political Accountability, on Friday, June 10, 2022 Tags: Accountability, ESG, Lobbying, Political spending, Reputation, Social contract, Stakeholders Remarks by Chair Gensler Before the Investor Advisory Committee Posted by Gary Gensler, U.S. [read post]
12 Nov 2021, 6:07 am
Securities and Exchange Commission, on Thursday, November 11, 2021 Tags: Bitcoin, Blockchain, Cryptocurrency, Decentralized finance, Financial technology, Risk, SEC, Securities regulation Remarks by Chair Gensler At the Institutional Limited Partners Association Summit Posted by Gary Gensler, U.S. [read post]
17 Jun 2022, 6:27 am
Sandstrom, Center for Political Accountability, on Friday, June 10, 2022 Tags: Accountability, ESG, Lobbying, Political spending, Reputation, Social contract, Stakeholders Remarks by Chair Gensler Before the Investor Advisory Committee 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]
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]
