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2 Nov 2021, 12:15 am
The areas addressed in the proposed regulations track pretty closely those that SEC Chair Gary Gensler has suggested the SEC may address in its own proposal, and the CSA’s discussion of the proposal indicates that Canadian regulators have had to make the same kind of policy choices that the SEC will be making. [read post]
6 Dec 2021, 3:00 am
But earlier this year, investors, SEC Chair Gary Gensler and DTCC blamed slow settlement times as one factor in the meme stock frenzy. [read post]
24 Oct 2011, 8:20 am
Said CFTC Chairman Gary Gensler, “the financial resources and risk management requirements will strengthen financial integrity and enhance legal certainty for clearinghouses. [read post]
27 Apr 2022, 6:31 am
And now under SEC Chair Gary Gensler, the SEC is seeking public comments on a bold and thoughtfully framed rule proposal for the enhancement and standardization of climate-related disclosures (Release No. 33-11042, March 21, 2022). [read post]
11 Oct 2023, 3:00 am
The new laws could have an impact on the SEC’s climate disclosure as SEC Chair Gary Gensler hinted at two weeks ago. [read post]
SEC and CFTC Receive Funding Increase in House Resolution to Help Them Carry Out Dodd-Frank Mandates
9 Dec 2010, 8:39 am
The House matched the President’s request with a $261 million appropriation for the CFTC.At recent hearings, CFTC Chair Gary Gensler told the Senate Banking Committee that the CFTC requires additional resources to enhance its surveillance program, prevent market disruptions, and implement the Dodd-Frank Act. [read post]
24 Jul 2012, 3:26 pm
Thus, the industry groups urged the CFTC to delay the compliance date for registration as a swap dealer or major swap participant until a period of time after the Commission publishes its final cross-border interpretative guidance.The CFTC guidance introduces the concept of substituted compliance under which, as recently explained by CFTC Chair Gary Gensler at a congressional hearing, the CFTC would defer to comparable and comprehensive foreign regulations. [read post]
2 Jan 2012, 3:15 pm
The meeting included CFTC Chair Gary Gensler, SEC Chair Mary Schapiro, Steven Maijoor, Chair of the European Securities and Markets Authority (ESMA), Jonathan Faull, Director General for Internal Market at the European Commission, Ashley Alder, CEO of the Hong Kong Securities and Futures Commission, Masamichi Kono, Vice-Commissioner of the Japanese Financial Services Agency, Teo Swee Lian, Deputy Managing Director of the Monetary Authority of Singapore, Mary Condon, Vice-Chair of… [read post]
17 Aug 2022, 3:37 am
Just this week, SEC Chair Gary Gensler tweeted a reminder that comments are due. [read post]
30 Oct 2012, 6:11 am
Chandler III, James Copland, Steven Davidoff, James Doty, Daniel Gallagher, Gary Gensler, Amy Goodman, Holly Gregory, Joseph Grundfest, Carl Icahn, Brad Karp (’84), David Katz, Arthur Kohn, David F. [read post]
7 Feb 2021, 7:12 am
” Similarly, acting SEC chair Allison Herren Lee has supported a disclosure regime that would ensure that financial institutions produce standardized disclosure of their exposure to climate risks, and it is widely expected that incoming SEC chair Gary Gensler will support ESG-related rulemaking. [read post]
12 Mar 2022, 7:37 am
But, surprisingly, the conflicts are not between the Dems and the one Republican remaining on the SEC; rather, they’re reportedly between SEC Chair Gary Gensler and the two other Democratic commissioners, Allison Herren Lee and Caroline Crenshaw, about how far to push the proposed new disclosure requirements, especially in light of the near certainty of litigation, and whether to require that the disclosures be audited. [read post]
10 Jul 2012, 10:43 am
CFTC Chairman Gary Gensler said that the rules would be published shortly. [read post]
28 Nov 2009, 11:24 am
 And Gary Gensler, the head of the Commodities Futures Trading Commission (the regulator that Phil Gramm wanted to be sure did not get a chance to regulate derivatives, back in that fateful December 2000 when the Commodities Futures MOdernization Act was passed to ban regulation of derivatives, without many voting for it understanding what it included or how it would work) seems to be intent on keeping the pressure up to secure regulation of the derivatives. [read post]
10 Oct 2011, 11:36 am
“[CFTC Chairman Gary Gensler] said we might, if it’s the will of the commission, put forward … a virtually identical proposal with the other regulators, or we could go it alone,” said Commissioner Scott O’Malia. [read post]
2 Jan 2025, 1:12 pm
Kohn, who represents the anonymous whistleblower(s), wrote in the letter to SEC Chairman Gary Gensler. [read post]
28 Mar 2022, 10:21 am
SEC Chair Gary Gensler will open the event followed by a panel discussion with Richard Best, Acting Director of the SEC’s Division of Examinations; Nancy LeaMond, Executive Vice President and Chief Advocacy and Engagement Officer at AARP; and Christine Kieffer, Senior Director of the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation. [read post]
18 May 2023, 7:38 am
In past years speakers have included whistleblowers such as Sherron Watkins and Linda Tripp as well as government officials like SEC Chair Gary Gensler and Secretary of Labor Marty Walsh. [read post]
18 Jun 2022, 6:30 am
According to SEC Chair Gary Gensler, “[w]e have a basic bargain in our securities regime, which came out of Congress on a bipartisan basis under the Sarbanes-Oxley Act of 2002. [read post]
22 Feb 2022, 9:58 am
” SEC Chair Gary Gensler echoed that sentiment in the agency’s press release, saying the BlockFi settlement “makes clear that crypto markets must comply with time-tested securities laws, such as the Securities Act of 1933 and the Investment Company Act of 1940. [read post]
