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30 Sep 2021, 8:01 am
In his opening statement in support of the proposed amendments, SEC Chair Gary Gensler proclaimed that the amendments are long overdue from the mandates under the Dodd-Frank Act, including “say on pay” regarding executive compensation. [read post]
30 Sep 2021, 6:13 am
Posted by Gary Gensler, U.S. [read post]
30 Sep 2021, 3:30 am
At the Small Business Capital Formation Advisory Committee meeting earlier this week, SEC Chair Gary Gensler focused his remarks on SPACs. [read post]
30 Sep 2021, 1:00 am
In this episode of Stay Tuned, Preet answers listener questions about the workings of the Securities and Exchange Commission, including, among other things, the overlapping jurisdiction of the SEC and U.S. attorney offices, and the difference between criminal and civil securities fraud.Then, Preet interviews SEC Chair Gary Gensler. [read post]
30 Sep 2021, 1:00 am
In this episode of Stay Tuned, Preet answers listener questions about the workings of the Securities and Exchange Commission, including, among other things, the overlapping jurisdiction of the SEC and U.S. attorney offices, and the difference between criminal and civil securities fraud.Then, Preet interviews SEC Chair Gary Gensler. [read post]
30 Sep 2021, 1:00 am
In this episode of Stay Tuned, Preet answers listener questions about the workings of the Securities and Exchange Commission, including, among other things, the overlapping jurisdiction of the SEC and U.S. attorney offices, and the difference between criminal and civil securities fraud.Then, Preet interviews SEC Chair Gary Gensler. [read post]
30 Sep 2021, 1:00 am
In this episode of Stay Tuned, Preet answers listener questions about the workings of the Securities and Exchange Commission, including, among other things, the overlapping jurisdiction of the SEC and U.S. attorney offices, and the difference between criminal and civil securities fraud.Then, Preet interviews SEC Chair Gary Gensler. [read post]
29 Sep 2021, 12:36 pm
SEC Chair Gary Gensler recently announced that the agency will look into revising some other 2020 rule amendments which were seen as detrimental to the program. [read post]
29 Sep 2021, 6:04 am
As SEC Chair Gary Gensler explained: Today’s announcement underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws. [read post]
29 Sep 2021, 3:25 am
As noted in the SEC’s announcement, SEC Chair Gary Gensler and Berkovitz previously worked together when Berkovitz served as the CFTC’s General Counsel from 2009 to 2013. [read post]
28 Sep 2021, 6:29 am
Posted by Gary Gensler, U.S. [read post]
27 Sep 2021, 8:33 am
By Lene Powell, J.D.In a panel at a recent securities conference, former SEC division heads discussed SEC Chair Gary Gensler’s rulemaking agenda and staff appointments. [read post]
27 Sep 2021, 7:02 am
And she doesn’t like cryptos any better than him. [read post]
25 Sep 2021, 6:19 am
Responding to a recent call from SEC Chair Gary Gensler to “freshen up” Rule 10b5-1, a subcommittee of the SEC’s Investor Advisory Committee (IAC) released draft recommendations on August 26 calling for changes to the operation of Rule 10b5-1 securities trading plans. [read post]
24 Sep 2021, 1:05 pm
In a press release announcing that milestone, SEC Chair Gary Gensler stated: “Today’s announcement underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws. [read post]
24 Sep 2021, 7:01 am
Since all that work will be moot soon enough, once they cease to be. [read post]
24 Sep 2021, 5:00 am
While there is no clarity what the coming human capital disclosures will be, Siegel observed that SEC Chair Gary Gensler tweeted that some of the things he is thinking about include workforce turnover, which could be just a percentage of workforce turnover, and skills and development training. [read post]
23 Sep 2021, 8:41 am
By John Filar AtwoodIn a letter to SEC Chair Gary Gensler, several industry groups urged the SEC to review stablecoins such as USD Coin and Thether and other digital assets to ensure they are complying with the federal securities laws. [read post]
21 Sep 2021, 6:28 am
SEC Chair Gary Gensler used this milestone to remind public companies that the Commission’s whistleblower program remains one of the most significant sources of information triggering Staff investigations and to urge potential whistleblowers to continue to come forward with credible information about potential violations of the securities laws. [read post]
21 Sep 2021, 6:13 am
By Amanda Maine, J.D.While much of SEC Chair Gary Gensler’s recent testimony before the Senate Banking Committee involved spirited back-and-forth conversations about the SEC’s role in regulating cryptocurrency and mandating ESG disclosure, the debate about payment for order flow (PFOF), especially in the wake of recent market volatility involving mobile trading apps, was also a hot topic. [read post]
