Search for: "Caroline A. Crenshaw"
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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]
27 Mar 2025, 9:01 pm
Crenshaw,A Risk by Any Other Name: Statement on the Enhancement and Standardization of Climate-Related Disclosures(Mar. 8, 2024); Commissioner Caroline A. [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]
13 Jul 2023, 5:22 am
“I am pleased to support this proposal because, if adopted, it would help protect customers in the event that a broker-dealer fails,” said Gensler.Commissioner Caroline Crenshaw said the proposal was a “common-sense” change that should help strengthen an important customer safeguard. [read post]
27 Oct 2022, 5:39 am
As Commissioner Caroline Crenshaw explained, the reports will include a simplified expense table, more concise Management Discussion of Fund Performance, additional performance-related data, fund statistics, and a graphical representation of categories of portfolio holdings. [read post]
21 Sep 2020, 4:00 am
Higdon, (In)Formal Marriage Equality, (July 19, 2020).Cynthia Conti-Cook, Surveying the Digital Abortion Diary: A Preview of How Anti-Abortion Prosecutors Will Weaponize Commonly-Used Digital Devices As Criminal Evidence Against Pregnant People and Abortion Providers in a Post-Roe America, (University of Baltimore Law Review, Forthcoming).Alyssa Bryant & Ezra Young, Transgender Politics: The Civil Rights of Transgender Persons, (Transgender and Gender Diverse Persons: A Handbook for Service… [read post]
13 Mar 2025, 9:01 pm
However, the Division’s guidance, which does not bind the Commission, was met with swift opposition from Commissioner Caroline A. [read post]
17 Sep 2023, 9:01 pm
In January, Commissioner Caroline Crenshaw proposed a mandatory periodic disclosure regime for unicorns. [read post]
26 May 2021, 8:42 am
"However, Commissioners Allison Herren Lee and Caroline Crenshaw jointly expressed concerns about how the NYSE proposal would evolve the IPO process away from traditional, firm-commitment underwritten IPOs. [read post]
17 Apr 2023, 5:00 am
Taking a more focused view, Commissioner Caroline Crenshaw said some crypto asset securities currently trade on entities that do not meet the current definition of exchange under Rule 3b-16, but would meet the updated criteria in the proposal. [read post]
23 Oct 2020, 9:53 am
She added that with no active exchange currently in existence, there is enough time to more thoroughly evaluate how to encourage security futures.Echoing her colleague’s concerns, SEC Commissioner Caroline Crenshaw objected that the final rule did not articulate a sufficient rationale for making this change. [read post]
22 Jun 2020, 3:03 am
John blogged on Friday that the President nominated SEC Senior Counsel Caroline Crenshaw to fill the vacancy, but no timetable has been set for her confirmation. [read post]
24 Aug 2021, 6:12 am
Gensler observed that concerns have been raised, including by whistleblowers as well as by Commissioners Allison Herren Lee and Caroline Crenshaw, that those amendments “could discourage whistleblowers from coming forward. [read post]
