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18 Oct 2021, 6:35 am
One of the most significant changes is embracing the policy of requiring admissions from respondents in the most egregious cases, a policy which had fallen by the wayside under Chair Gary Gensler’s predecessor Jay Clayton.Deputy Director Sanjay Wadhwa said that it is true that “neither-admit-nor-deny” settlements allow the Division to use its resources more effectively, including returning funds to harmed investors more quickly. [read post]
17 Oct 2021, 10:53 am
The standard view of the Biden Administration SEC under the leadership of Gary Gensler is that the agency will take a more active enforcement approach than was the case during the prior administration. [read post]
15 Oct 2021, 6:19 am
Posted by Gary Gensler, U.S. [read post]
14 Oct 2021, 2:36 pm
On October 5, 2021, Securities and Exchange Commission Chairman Gary Gensler addressed the House Financial Services Committee regarding the agency’s role in regulating the cryptocurrency markets. [read post]
14 Oct 2021, 11:58 am
” The whistleblower groups note that Grassley asked similar questions to Securities and Exchange Commission (SEC) Chair Gary Gensler when he was a nominee. [read post]
14 Oct 2021, 3:30 am
As SEC Chair Gary Gensler noted in his supporting statement, the transition to a structured data format will enable the SEC to automatically detect errors and calculate fee amounts. [read post]
13 Oct 2021, 7:01 am
Actually, it won’t even be that hard. [read post]
12 Oct 2021, 11:03 am
Following Haugen’s testimony, SEC Chair Gary Gensler responded to questions about whether the SEC was investigating her allegations. [read post]
8 Oct 2021, 6:00 am
DuClos, Sidley Austin LLP, on Tuesday, October 5, 2021 Tags: Capital formation, Institutional Investors, IPOs, Mergers & acquisitions, PIPE, Shareholder activism, SPACs, Special purpose vehicles Director Pay Levels Were Flat Among the 100 Largest US Companies Posted by Dan Laddin, Matt Vnuk, and Whitney Cook, Compensation Advisory Partners, LLC, on Tuesday, October 5, 2021 Tags: Board independence, Boards of… [read post]
8 Oct 2021, 3:00 am
Consistent with the priorities that he identified in that Agenda, SEC Chair Gary Gensler also has been remarking at recent conferences, such as the CII Fall Conference, that he wants to knock out remaining Dodd-Frank rulemaking in short order. [read post]
7 Oct 2021, 3:15 am
We’ve blogged about the HFCAA a few times – including back in March, when the SEC adopted interim final rules, and in late summer, when SEC Chair Gary Gensler talked about additional disclosure requirements for China-based companies. [read post]
7 Oct 2021, 3:00 am
In testimony before the House Committee on Financial Services earlier this week, SEC Chair Gary Gensler said that he hopes the Commission can collect public comments and finalize it before year-end. [read post]
6 Oct 2021, 6:52 am
Posted by Gary Gensler, U.S. [read post]
6 Oct 2021, 5:27 am
Nelson, J.D.SEC Chair Gary Gensler issued a public statement in which he said he had directed Commission staff to review the rules applicable to exchange-traded products (ETPs) with respect to the risks such products pose to both retail investors and sophisticated investment managers. [read post]
4 Oct 2021, 2:32 pm
As I discussed in a post at the time (here), in August 2021 the SEC brought an cybersecurity-related disclosure enforcement action against UK educational publishing firm Pearson plc. [read post]
4 Oct 2021, 12:56 pm
The committee will hear testimony from Securities and Exchange Commission Chair Gary Gensler. [read post]
2 Oct 2021, 7:52 am
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Genslerhttps://www.sec.gov/news/testimony/gensler-2021-10-05Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members of the Committee. [read post]
2 Oct 2021, 7:52 am
Testimony Before the United States House of Representatives Committee on Financial Services by SEC Chair Gary Gensler / Oct. 5, 2021 (BrokeAndBroker.com Blog)Two New Jersey Men Arrested And Charged With Securities Fraud For Scheme To Defraud Investors In Hemp Company / Vitaly Fargesen and Igor Palatnik Misappropriated Approximately $4 Million of Investor Funds (DOJ Release)SEC Charges Hemp Company and Co-Founders With Fraud (SEC Release)... [read post]
1 Oct 2021, 5:54 am
Securities and Exchange Commission, on Tuesday, September 28, 2021 Tags: Accredited investors, Capital formation, Crowdfunding, Institutional Investors, Investor protection, IPOs, Regulation A, SEC, Securities regulation, SPACs Remarks by Chair Gensler Before the Small Business Capital Formation Advisory Committee Posted by Gary Gensler, U.S. [read post]
1 Oct 2021, 3:15 am
Back in July, SEC Chair Gary Gensler indicated in a speech on the U.N. [read post]
