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8 Apr 2022, 5:50 am
., Wachtell, Lipton, Rosen & Katz, on Thursday, April 7, 2022 Tags: Board composition, California, Diversity, ESG, Listing standards, Management, NASDAQ, Private ordering, Stakeholders, State law The Limits of SPAC Sponsor Earnouts Posted by Michael Klausner (Stanford University) and Michael Ohlrogge (NYU), on Thursday, April 7, 2022 Tags: Agency costs, Earnouts, Executive Compensation, IPOs, Mergers &… [read post]
8 Apr 2022, 5:50 am
., Wachtell, Lipton, Rosen & Katz, on Thursday, April 7, 2022 Tags: Board composition, California, Diversity, ESG, Listing standards, Management, NASDAQ, Private ordering, Stakeholders, State law The Limits of SPAC Sponsor Earnouts Posted by Michael Klausner (Stanford University) and Michael Ohlrogge (NYU), on Thursday, April 7, 2022 Tags: Agency costs, Earnouts, Executive Compensation, IPOs, Mergers &… [read post]
7 Apr 2022, 9:01 pm
[2] See Gary Gensler, “Statement on Exchange Act 10B and Rule 9j-1” (Dec. 15, 2021), available at https://www.sec.gov/news/statement/gensler-10b-rule-9j-1-20211215 [3] See Gary Gensler, “Statement on Public Dissemination of Security-Based Swap Transactions” (Feb. 16, 2022), available at https://www.sec.gov/news/statement/gensler-public-dissemination-sbs-transactions-202202 This statement was issued on April 6, 2022, by… [read post]
7 Apr 2022, 11:49 am
If confirmed by the Senate, Lizárraga and Uyeda will join Democrats Chair Gary Gensler and Commissioner Caroline Crenshaw and Republican Hester Peirce. [read post]
7 Apr 2022, 6:10 am
Posted by Gary Gensler, U.S. [read post]
7 Apr 2022, 6:10 am
Posted by Gary Gensler, U.S. [read post]
7 Apr 2022, 4:05 am
Senator Joe Manchin, perhaps not surprisingly, sent a letter to SEC Chair Gary Gensler criticizing the proposed rules as unduly burdensome. [read post]
6 Apr 2022, 6:12 am
SEC Chairman Gary Gensler stated that Proposed Rule 13f-2 “would strengthen transparency of an important area of our markets that would benefit from greater visibility and oversight. [read post]
6 Apr 2022, 6:12 am
SEC Chairman Gary Gensler stated that Proposed Rule 13f-2 “would strengthen transparency of an important area of our markets that would benefit from greater visibility and oversight. [read post]
5 Apr 2022, 11:16 am
I have been arguing for some time that investors do not want ESG to the extent progressives like SEC Chairman Gary Gensler claim. [read post]
5 Apr 2022, 7:27 am
At National Whistleblower Day 2021, SEC Chair Gary Gensler stated that the agency’s whistleblower program “helps us be better cops on the beat, execute our mission, and protect investors from misconduct. [read post]
5 Apr 2022, 5:40 am
“Over the years, our disclosure regime has evolved to reflect evolving risks and investor needs,” said SEC Chair Gary Gensler. [read post]
4 Apr 2022, 9:05 pm
” Gensler added, “In making decisions about disclosure requirements under the federal securities laws – including decisions about today’s climate-related disclosures – I am guided by the concept of materiality. [read post]
4 Apr 2022, 9:01 pm
Thank you. [read post]
4 Apr 2022, 5:30 am
However, the SEC Chair Gary Gensler said, in August 2021, that the SEC considers many cryptocurrency coins and tokens to be securities under the Howey Test, saying, "If somebody is raising money selling a token and the buyer is anticipating profits based on the efforts of that group to sponsor the seller, that fits into something that's a security. [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]
1 Apr 2022, 2:07 pm
After the SEC finalized its implementation of the HFCAA in December 2021, SEC Chair Gary Gensler called out China and Hong Kong specifically for enforcement action, noting that the two jurisdictions had historically failed to allow the Public Company Accounting Oversight Board (PCAOB) to perform their inspections. [read post]
1 Apr 2022, 8:31 am
“For traditional IPOs, Congress gave the SEC certain tools, which I generally see as falling into three buckets: disclosure; standards for marketing practices; and gatekeeper and issuer obligations,” said SEC Chair Gary Gensler. [read post]
1 Apr 2022, 6:01 am
What to Look For in the 2022 Proxy Season Posted by Blair Jones, Sarah Hartman, and Austin Vanbastelaer, Semler Brossy LLC, on Thursday, March 31, 2022 Tags: COVID-19, ESG, Executive Compensation, Human capital, Institutional Investors, Proxy advisors, Proxy season, Proxy voting, Say on pay, Shareholder voting The COVID-19 Pandemic’s Fleeting and Lasting Impact on Executive Compensation Posted by Mike Kesner, Linda Pappas, and Joshua… [read post]
31 Mar 2022, 6:39 am
The bulletin, which was praised by Chair Gary Gensler, is intended to assist firms and their professionals with considering reasonably available alternatives and cost, addressing conflicts of interest, and adopting and implementing policies and procedures when making account recommendations.Reg BI vs. [read post]
