Search for: "Gary Gensler"
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31 Aug 2022, 11:34 am
But the SEC under Gary Gensler seems to have liberalized the ordinary business exception to allow a slew of social and environmental proposals from progressives to be included on company proxy statements. [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]
5 Apr 2022, 7:27 am
At National Whistleblower Day 2021, SEC Chair Gary Gensler stated that the agency’s whistleblower program “helps us be better cops on the beat, execute our mission, and protect investors from misconduct. [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]
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]
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]
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]
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]
16 Dec 2021, 3:15 am
SEC Chair Gary Gensler mentioned that buybacks were on the SEC’s agenda when he discussed his desire to make changes to Rule 10b5-1, but the release notes that some of the disclosure proposals date back to the 2016 Reg S-K concept release. [read post]
3 Nov 2011, 6:58 am
“With this final rule, regulators will gain transparency into an important sector of the financial marketplace to better assess risk to the overall system,” said CFTC Chairman Gary Gensler. [read post]
17 Jun 2021, 6:05 am
This post is based on an open letter to SEC Chairman Gary Gensler, authored by Mr. [read post]
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]
12 Jul 2021, 5:55 am
SEC’s ESG Developments The SEC’s focus on ESG disclosure, which began under Acting Chair Allison Lee, continues to be a priority under Chair Gary Gensler, who was sworn into office on April 17, 2021. [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]
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]
6 May 2021, 6:00 am
This post is based on an open letter to SEC Chairman Gary Gensler, authored by Mr. [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]
10 Oct 2011, 12:25 pm
Earlier, Capital Markets Subcommittee Chair Scott Garrett (R-NJ) sent a letter to CFTC Chair Gary Gensler stating that Title VII rules are being proposed by the SEC and CFTC without apparent coordination. [read post]
16 Jun 2022, 11:07 am
Keynote speakers at last year’s National Whistleblower Day included Senator Chuck Grassley, Secretary of Labor Marty Walsh, Representative Jackie Speier, and SEC Chair Gary Gensler. [read post]
28 Feb 2021, 6:00 pm
All of this will all but certainly move forward promptly when President Biden’s SEC chairman nominee, Gary Gensler (.. whose confirmation hearing in scheduled for March 2, 2021) is seated. [read post]
