Search for: "Gary Gensler"
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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]
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]
21 Aug 2013, 7:46 am
The letter, which was addressed to CFTC Chair Gary Gensler and SEC Chair Mary Jo White, was signed by Senators Jeff Merkley (D-OR), Carl Levin (D-MI), Tom Harkin (D-IA), Elizabeth Warren (D-MA), Jeanne Shaheen (D-NH), Barbara Boxer (D-CA), Richard Blumenthal (D-CT), and Dianne Feinstein (D-CA). [read post]
1 Sep 2021, 12:29 pm
The rule was adopted at a time when compensation among executives and employees in many industries was trending away from fixed salary and toward variable equity-based pay.However, the subcommittee stated that many observers have expressed concern since the adoption of the rule that 10b5-1 trading plans may help shield opportunistic insider trading from legal, regulatory and market scrutiny.SEC Chair Gary Gensler recently stated a concern that Rule 10b5-1 has "led to real… [read post]
29 Nov 2023, 7:12 am
A new rule incorporating the section's text was proposed in 2011, but the proposal lay dormant until it was unanimously re-proposed during the Commission's first open meeting of 2023.SEC Chair Gary Gensler said that he was pleased to support the rule: "As directed by Congress, today's rule prohibits securitization participants—including those who sell or facilitate the sale of an asset-backed security—from engaging in transactions that involve or… [read post]
26 Apr 2023, 7:54 am
Previously, the SEC, via a statement from Chair Gary Gensler, had indicated that it was monitoring the recent bank failures for purposes of market stability and for any possible federal securities law violations.More recently, SEC Commissioner Caroline A. [read post]
20 Jul 2021, 7:10 am
However, the organization praised Chair Gary Gensler for announcing that the SEC would revisit the proxy advisor rule. [read post]
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]
8 Aug 2013, 10:35 am
The letter, which was addressed to CFTC Chair Gary Gensler and SEC Chair Mary Jo White, was signed by Senators Jeff Merkley (D-OR), Carl Levin (D-MI), Tom Harkin (D-IA), Elizabeth Warren (D-MA), Jeanne Shaheen (D-NH), Barbara Boxer (D-CA), Richard Blumenthal (D-CT), and Dianne Feinstein (D-CA). [read post]
1 Dec 2021, 6:41 am
SEC Chair Gary Gensler said that companies’ books and disclosures should “reflect the economics and terms of these compensation arrangements,” a position that “gets to the SEC’s remit to protect investors” (Staff Accounting Bulletin No. 120, Release No. [read post]
6 Jun 2023, 9:33 am
Discovered in April 2022, SEC Chairman Gary Gensler has directed the implementation of enhanced data access controls to prevent further lapses, the Commission said.While the data breach was not found to be deliberate, and the investigation failed to uncover evidence that the lapse resulted in harm to any respondent or affected the Commission’s adjudication in any proceeding, “we have nevertheless determined to dismiss, as a matter of discretion, all pending proceedings… [read post]
24 Jan 2022, 5:00 am
SEC Chair Gary Gensler has indicated that a proposal is in the works, and with a 3-2 majority it is expected he will have the votes to issue the proposal.The study first looked at a 2005 rule change that required companies to include a section in their 10-K to highlight key risks of doing business (Item 1A). [read post]
27 Jun 2022, 5:24 am
In fact, CII said that is agrees with SEC Chair Gary Gensler that a final rule, as described and supplemented, would strengthen the transparency and quality of corporate financial statements and accountability of corporate executives to their investors.Additional restatements that would trigger a compensation recovery analysis. [read post]
27 Oct 2022, 5:39 am
According to Gensler, shareholder documents are among the most important documents fund investors receive, but retail investors often have to sift through over 100 pages of information. [read post]
22 Dec 2022, 6:04 am
This is in part because there isn’t a level playing field among different parts of the market: wholesalers, dark pools, and lit exchanges,” said SEC Chairman Gary Gensler in a statement. [read post]
11 May 2023, 5:22 am
“The short history of cryptocurrencies is marked by extremely volatile markets; brazenly fraudulent schemes, hacks, and scams; and innumerable failures and bankruptcies leading to billions of dollars of investor losses,” the group wrote.Better Markets agreed with SEC Chair Gary Gensler’s view that most crypto assets are securities, but argued that is not a requirement for bringing crypto assets within the custody rule. [read post]
7 Jun 2023, 6:47 am
"We allege that Coinbase, despite being subject to the securities laws, commingled and unlawfully offered exchange, broker-dealer, and clearinghouse functions," said SEC Chair Gary Gensler. [read post]
13 Jan 2022, 6:22 am
Previously, SEC Chair Gary Gensler has spoken of the need to close regulatory gaps in digital asset markets: “In my view, the legislative priority should center on crypto trading, lending, and DeFi platforms. [read post]
15 Sep 2023, 10:18 am
” In a statement, SEC Chair Gary Gensler likened the current system of one-login-per-firm to a family sharing a password to a streaming service. [read post]
10 Aug 2021, 9:12 am
The Commission voted 3-2 to approve the Nasdaq rule.SEC Chair Gary Gensler stated that the rules are consistent with the requirements of the Exchange Act, and reflect calls from investors for greater transparency about the people who lead public companies.Commissioners Alison Herren Lee and Caroline Crenshaw supported the rule, calling it "a positive first step for investors" while cautioning there is more work to be done in improving both diversity and transparency at… [read post]
