Search for: "Gary Gensler"
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5 Feb 2021, 3:00 am
A recent Olshan blog discussing what activists might expect from a Gary Gensler led SEC raised the possibility that Section 13(d) reform just might find its way on to the SEC’s agenda. [read post]
24 Jun 2021, 6:57 am
By Jay Fishman, J.D.SEC Chair Gary Gensler, on June 23, 2021, addressed London City Week about public company disclosures, market structure, transparency, and LIBOR. [read post]
11 May 2022, 9:01 pm
Thank you for the kind introduction. [read post]
3 Apr 2022, 9:04 am
FINRA Sued in the Wrong Place At the Wrong Time (BrokeAndBroker.com Blog)Two Men Sentenced to Combined 13 Years in $1.5 Million Apple Gift Card Scheme (DOJ Release)Manvel man sent to prison for draining co-workers in investment scheme (DOJ Release)SEC Awards $160,000 and $80,000 to Two WhistleblowersOrder Determining Whistleblower Award ClaimsPrepared Remarks of SEC Chair Gary Gensler On Crypto Markets (Penn Law Capital Markets Association Annual Conference)Canadian Man Arrested… [read post]
28 May 2021, 8:56 am
Hendrickson Esq (BrokeAndBroker.com Blog)2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat (FINRA Unscripted)COLORADO DEFENDANT PLEADS GUILTY TO DEFRAUDING INVESTORS (DOJ Release)SEC Charges Massachusetts Investment Adviser with Defrauding Clients (SEC Release)Statement on the application of the proxy rules to proxy voting advice (Statement by SEC Chair Gary Gensler / June 1, 2021)Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions… [read post]
9 Apr 2021, 6:00 am
Desperately Seeking FINRA Arbitration On Remand From Federal Court (BrokeAndBroker.com Blog)Statement on Senate Confirmation of Gary Gensler (SEC Statement)9Cir Reverses/Remands -- Says Investment Banker's Statutory Employment Claims Fall Under Explicit Language of Arbitration ProvisionsShannon Zoller, Plaintiff/Appellee, v. [read post]
18 Sep 2023, 4:46 am
Former Goldman partner Gary Gensler once chaired the CFTC and now chairs the SEC. [read post]
29 Jul 2023, 6:45 am
Four highlights from this week: New Tool Shows if Your Car Might Be Tracking You, Selling Your Data; Crypto Sector Is Rife With 'Fraud' and 'Hucksters' Warns Gary Gensler; This Stalkerware is Spying On Thousands: Here's What To Do; and How researchers broke ChatGPT and what it could mean for future AI development. [read post]
10 Jul 2023, 5:02 am
.'s Alleged Failure to Address Corporate Governance Issues Attendant to CEO Elon Musk (Letter from Senator Warren to SEC Chair Gary Gensler / July 17, 2023) DOJ Nigerian National Extradited from South Africa for Cyber Fraud Scheme Targeting Tulsa Company / Spoofed Email Led to Fraudulent Shipment of $400,000 in Surface Pro Tablets (DOJ Release) International Cyber Fraudster Sentenced to More Than 8 Years in Federal Prison (DOJ Release) SEC &... [read post]
1 Aug 2021, 10:04 am
SR-NASDAQ-2020-081; SR-NASDAQ-2020-082)Statement on the Commission’s Approval of Nasdaq’s Proposal for Disclosure about Board Diversity and Proposal for Board Recruiting Service by SEC Chair Gary Gensler... [read post]
30 Apr 2021, 3:58 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5831/securities-industry-commentator/Testimony Before the House Committee on Financial Services of SEC Chair Gary Gensler / May 6, 2021GUEST BLOG [In]Securities: Mind Games by Aegis Frumento Esq (BrokeAndBroker.com Blog)New York and Florida Resident Charged with $3.8 Million Paycheck Protection Program Fraud Scheme (DOJ Release)Two Texas… [read post]
15 Dec 2021, 9:23 am
But SPACs have also seen turbulence, with significant SEC enforcement actions, new accounting guidance that caused hundreds of SPACs to issue financial restatements, and remarks by SEC Chair Gary Gensler that SPACs might not be treating investors fairly. [read post]
1 Jun 2022, 7:26 am
In justifying the measures, SEC Chairman Gary Gensler has underscored investors’ needs and demands for consistent and comparable information around climate matters.Meanwhile, members of Congress and state officials have voiced their strident opposition to the proposal claiming the agency has far exceeded its authority, with promises of court action if the rules are approved in their current form. [read post]
24 Mar 2024, 10:00 pm
SEC Chair Gary Gensler previously analogized “AI washing” to “greenwashing” (referring to misleading statements about how eco-friendly a company is) and cautioned businesses to ensure they are not misleading the public about their AI use. [read post]
24 Mar 2024, 10:00 pm
SEC Chair Gary Gensler previously analogized “AI washing” to “greenwashing” (referring to misleading statements about how eco-friendly a company is) and cautioned businesses to ensure they are not misleading the public about their AI use. [read post]
24 Mar 2024, 10:00 pm
SEC Chair Gary Gensler previously analogized “AI washing” to “greenwashing” (referring to misleading statements about how eco-friendly a company is) and cautioned businesses to ensure they are not misleading the public about their AI use. [read post]
24 Mar 2024, 10:00 pm
SEC Chair Gary Gensler previously analogized “AI washing” to “greenwashing” (referring to misleading statements about how eco-friendly a company is) and cautioned businesses to ensure they are not misleading the public about their AI use. [read post]
24 Mar 2024, 10:00 pm
SEC Chair Gary Gensler previously analogized “AI washing” to “greenwashing” (referring to misleading statements about how eco-friendly a company is) and cautioned businesses to ensure they are not misleading the public about their AI use. [read post]
24 Mar 2024, 10:00 pm
SEC Chair Gary Gensler previously analogized “AI washing” to “greenwashing” (referring to misleading statements about how eco-friendly a company is) and cautioned businesses to ensure they are not misleading the public about their AI use. [read post]
13 Aug 2021, 10:15 am
During a recent speech discussing the intersection of national security with cryptocurrencies at the Aspen Security Forum, Gary Gensler, the new Chairman of the Securities and Exchange Commission (SEC), made clear the SEC will use its broad powers to continue protecting investors from the volatility associated with cryptocurrency markets which he characterized as the “Wild West. [read post]
