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1 Nov 2024, 7:23 am
One of the more significant rulemaking initiatives under Chair Gensler’s SEC that has not yet been finalized is a proposal to expand the universe of what constitutes an “exchange” for regulatory categorization purposes. [read post]
2 May 2022, 12:25 pm
Sec Enforcement Priorities On April 4, 2022, SEC Chair Gary Gensler outlined the SEC’s enforcement priorities as they relate to blockchain and cryptocurrencies in a speech at the Penn Law Capital Markets Association Annual Conference. [read post]
13 Apr 2011, 8:43 am
Agreeing with Chairman Schapiro, CFTC Chair Gary Gensler said that differences in SEC and CFTC derivatives regulations are sometimes driven by statute and sometimes by market practices. [read post]
10 Nov 2020, 7:19 am
Yates is perhaps best known in corporate law circles, however, for the "Yates memo" in which she outlined then-DOJ policy on individual accountability and corporate wrongdoing.Finally, according to multiple media reports, President-elect Biden will lean on former CFTC Chairman Gary Gensler for advice on oversight of the financial industry. [read post]
20 Aug 2009, 2:11 am
"I believe that position limits should be consistently applied and vigorously enforced," CFTC Chairman Gary Gensler said. [read post]
16 Mar 2023, 9:57 am
“This proposal would help promote every part of our mission, particularly regarding investor protection and orderly markets,” Gensler said.The big picture. [read post]
19 Dec 2023, 6:12 am
The majority response to Coinbase also noted that the Commission has pursued multiple crypto-related rulemakings and that those rulemakings may address some of Coinbase’s concerns about lack of legal clarity around crypto activities.SEC Chair Gary Gensler issued a statement echoing the contents of the letter sent to Coinbase. [read post]
15 Jul 2011, 2:43 pm
” The email was signed “Gary Gensler”, but originated from Singapore, where McCrudden was living at the time.The defendant has a checkered regulatory history. [read post]
8 Nov 2021, 6:42 am
By Lene Powell, J.D.Sharing insights honed by past leadership in the SEC Enforcement Division, prominent members of the SEC defense bar discussed the agency’s assertive enforcement under SEC Chair Gary Gensler and Enforcement Director Gurbir Grewal. [read post]
31 May 2012, 10:37 am
“In adopting the Volcker rule, Congress prohibited banking entities from proprietary trading while at the same time permitting banking entities to engage in certain activities, such as market making and risk mitigating hedging,” CFTC Chairman Gary Gensler said. [read post]
14 Jun 2012, 9:30 pm
The Commodity Futures Trading Commission (CFTC) may delay some derivatives rules for foreign banks according to chairperson Gary Gensler. [read post]
3 Mar 2022, 3:18 am
Here’s a reminder of what a more prescriptive rule could include: Commission staff have been working on a rule that would mandate additional disclosures around human capital since SEC Chairman Gary Gensler took office last April. [read post]
23 Oct 2012, 8:35 am
“With this interpretive guidance, the Commission has taken another important step to ensure appropriate access to SDRs by foreign regulatory authorities consistent with the provisions of the Dodd-Frank Act,” said a statement issued by CFTC chairman Gary Gensler, who supported the rule. [read post]
11 May 2012, 9:45 am
“When markets are open and transparent, prices are more competitive, markets are more efficient and liquid, and costs are lowered for companies and their customers,” CFTC Chairman Gary Gensler said. [read post]
27 Dec 2021, 8:00 am
While the total number of enforcement actions – including new actions along with other “follow-on” or open proceedings – decreased slightly year over year in FY 2021, the SEC remained committed to its role as “cop on the beat for America’s securities laws,” as described by Chair Gary Gensler. [1] The SEC maintained a sharp focus on protecting the integrity of the country’s capital markets through enforcement actions against bad… [read post]
14 Feb 2011, 2:18 pm
The Coalition for Derivatives End-Users believes that the Dodd-Frank Act does not provide regulators with the authority to impose margin on end-users.While CFTC Chairman Gary Gensler has indicated that his intent is not to impose margin directly on non-financial end-users, the Coalition remains concerned that the CFTC and other prudential regulators might attempt to impose margin indirectly on end-users, through counterparties or otherwise. [read post]
22 Jun 2012, 9:20 am
“Modern finance has shown us time and time again that those risks keep crashing back here when there is a problem,” CFTC Chairman Gary Gensler said in an interview. [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]
3 Oct 2022, 3:30 pm
” SEC Chair Gary Gensler noted that the case “serves as a reminder to celebrities and others that the law requires them to disclose to the public when and how much they are paid to promote investing in securities. [read post]
10 May 2022, 6:30 am
In a statement of support, SEC Chair Gary Gensler said that the Proposal responds to demand from investors and companies given the increased push for information on the risks climate change-related events pose to businesses. [read post]
