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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]
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]
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]
6 May 2021, 6:00 am
This post is based on an open letter to SEC Chairman Gary Gensler, authored by Mr. [read post]
12 Nov 2021, 11:21 am
New SEC Chairman Gary Gensler has already directed the SEC staff to propose revisions to these amendments. [read post]
4 Nov 2009, 4:41 am
In a letter to SEC Chair Mary Schapiro and CFTC Chair Gary Gensler, Mr. [read post]
22 Nov 2024, 2:26 pm
“The Division of Enforcement is a steadfast cop on the beat, following the facts and the law wherever they lead to hold wrongdoers accountable,” said 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]
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]
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]
6 Dec 2011, 7:05 am
Commission Chairman Gary Gensler called the new rule “critical for the safeguarding of customer money. [read post]
16 Oct 2023, 7:48 am
"Securities lending played a role in the 2008 financial crisis, and, currently, the securities lending market is opaque,” said SEC Chair Gary Gensler. [read post]
Proposed rules enhance regulation of private fund advisers and bolster cybersecurity risk management
10 Feb 2022, 9:56 am
Supporting the proposal, SEC Chair Gary Gensler noted that private funds and their advisers account for over $18 trillion in gross assets and that the proposal would promote more efficiency, competition, and transparency in this marketplace.First, the proposal would require registered private fund advisers to issue a quarterly statement providing investors with details of fees and expenses paid by the fund and compensation paid to the adviser. [read post]
14 Dec 2022, 5:12 am
The SEC said Bankman-Fried engaged in ever-larger diversions of FTX customer funds to prop up Alameda, which diversions took several forms, including: (1) telling FTX customers to deposit fiat currency in bank accounts under Alameda’s control; and (2) permitting Alameda to draw from a “virtually limitless ‘line of credit’” at FTX.According to SEC Chair Gary Gensler, commenting via press release, “[t]he alleged fraud committed by Mr. [read post]
26 May 2022, 2:21 am
As the fund industry has developed, gaps in the current Names Rule may undermine investor protection," said SEC Chair Gary Gensler. [read post]
3 Nov 2022, 6:31 am
SEC Chair Gary Gensler suggested that the classification part of the proposal would keep funds honest about which of their assets are truly liquid, analogizing the problem to his inability to classify gummy bears as fruit. [read post]
3 May 2021, 7:49 am
The conference itself arose from President Biden’s 2021 appointment of Gary Gensler as SEC Chair, Gensler’s having made ESG Disclosures one of his priorities, and the Commission’s determination to mandate ESG disclosures for companies.Overall theme of conference. [read post]
1 Mar 2023, 5:07 am
,” the firm wrote in a memorandum in opposition to the motion to dismiss.The firm added that it will stop using the Ethereum Network and Ether DCU if such use constitutes unregistered securities transactions under the Federal Securities Act of 1933 (the “Securities Act”).As evidence of regulatory uncertainty, the firm said that SEC Chair Gary Gensler recently stated in an interview with New York Magazine that “everything other than bitcoin” is a… [read post]
14 Aug 2023, 4:58 am
Shihara was charged with controlling person violations.In a press release at the time the SEC’s civil charges were announced, SEC Chair Gary Gensler suggested that federal securities laws are reasonably clear and that the main problem with crypto markets is noncompliance. [read post]
13 Sep 2022, 8:48 am
For example, at the federal level, the SEC during the Trump Administration added a human capital disclosure requirement for public companies, which the current Gary Gensler-led SEC could potentially expand. [read post]
