Search for: "Caroline A. Crenshaw"
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18 Mar 2021, 11:16 am
Caroline A. [read post]
30 Mar 2021, 3:15 pm
Caroline A. [read post]
2 Oct 2020, 6:11 am
Statement by Commissioner Crenshaw on Procedural Requirements and Resubmission Thresholds under Rule 14a-8 Posted by Caroline Crenshaw, U.S. [read post]
6 May 2022, 6:01 am
Crenshaw, U.S. [read post]
6 May 2022, 6:01 am
Crenshaw, U.S. [read post]
22 Jan 2021, 3:03 am
Commissioners Hester Peirce, Elad Roisman and Caroline Crenshaw issued a statement congratulating Commissioner Lee on her designation as Acting Chair. [read post]
27 Oct 2020, 4:49 am
By John Filar AtwoodIn an unusual move, Commissioners Allison Herren Lee and Caroline Crenshaw have issued a statement in opposition to a no-action position taken by the staff of the SEC’s Division of Trading and Markets. [read post]
29 Dec 2020, 3:03 am
Commissioners Hester Peirce, Allison Herren Lee and Caroline Crenshaw issued a statement congratulating Commissioner Roisman’s designation as Acting Chair. [read post]
14 Jul 2022, 5:23 am
Lori Schock, Director of the Office of Investor Education and Advocacy, and Commissioner Caroline Crenshaw warned that holding a levered and/or inverse single-stock ETF is much riskier than holding the underlying stock, a traditional ETF, or even a non-single stock levered and/or inverse ETF.Single-stock ETFs provide leveraged, inverse or complex exposure to a single security rather than a portfolio of multiple securities as with typical ETFs. [read post]
22 Jun 2022, 3:15 am
Here’s an excerpt from Cydney Posner’s recent blog: While the proposed requirement to disclose material Scope 3 greenhouse gas emissions seems to be one of the most contentious—if not the most contentious—element of the SEC’s climate disclosure proposal (see this PubCo post and this PubCo post), two of the SEC’s Democratic Commissioners, Allison Herren Lee and Caroline Crenshaw, told Bloomberg that they think it still doesn’t go far enough.… [read post]
1 Dec 2023, 9:17 am
Commissioner Caroline Crenshaw drew a connection between the definition and the committee’s second topic, diversity, by warning that eroding investor protections may disproportionately harm underserved communities.The Small Business Capital Formation Advisory Committee met to discuss the accredited investor definition and diversity and the investment process. [read post]
14 Oct 2022, 7:09 am
By Lene Powell, J.D.SEC staff issued an FAQ stating that an investment adviser may consider factors relating to diversity, equity, and inclusion (DEI) in recommending other investment advisers to or selecting other advisers for its clients—if the use of such factors is consistent with a client’s objectives, the scope of the relationship, and the adviser’s disclosures.Commissioners Caroline Crenshaw and Jaime Lizárraga said the FAQ is a “step in the… [read post]
15 Mar 2021, 6:26 am
Posted by Caroline Crenshaw (U.S. [read post]
26 Apr 2023, 7:54 am
Crenshaw cited reports by Forbes and Bloomberg that suggested that some investors were unable to do so. [read post]
15 Mar 2021, 3:00 am
SEC Enforcement: Commissioner Crenshaw Throws a Grenade Last week, Commissioner Caroline Crenshaw gave a speech at the CII’s spring meeting. [read post]
2 Feb 2023, 4:30 am
Earlier this week at the Northwestern Pritzker School of Law’s Securities Regulation Institute, SEC Commissioner Caroline Crenshaw delivered the Alan B. [read post]
10 May 2023, 9:05 pm
In January, Commissioner Caroline Crenshaw proposed a mandatory periodic disclosure regime for unicorns. [read post]
30 Sep 2021, 8:01 am
Commissioners Allison Herren Lee and Caroline Crenshaw also voiced their support for the proposed amendments. [read post]
27 Jul 2023, 9:11 am
Gensler and Commissioners Caroline Crenshaw and Jaime Lizárraga voted to issue the proposal, while Commissioners Hester Peirce and Mark Uyeda voted against it.Based on the Commission’s analysis and extensive public input, the current framework on conflicts of interest needs to be modernized in light of new technology, said Lizárraga.Crenshaw pointed to recent developments in national policy on artificial intelligence. [read post]
20 Mar 2023, 5:00 am
”Gensler also emphasized the requirement of the proposal that key market participants perform an annual “thorough, holistic, and interconnected” systems review, which he believes could help maintain technological resilience.Commissioner Caroline Crenshaw echoed these observations and also noted that alternative trading systems trading corporate debt or municipal securities were not included at Regulation SCI’s adoption because these entities relied less on… [read post]
