Search for: "Gary Gensler"
Results 901 - 920
of 1,268
Sorted by Relevance
|
Sort by Date
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]
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]
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]
16 Jan 2025, 6:00 am
SEC Chair Gary Gensler introduced a new battleground of regulatory interest in his remarks: “Investment advisers should not mislead the public by saying they are using an AI model when they are not. [read post]
1 Sep 2022, 6:17 am
”The letters to regulators, all virtually identical, included SEC Chair Gary Gensler, CFTC Chair Rostin Behnam, FTC Chair Lina Khan, and Treasury Secretary Janet Yellen. [read post]
10 Sep 2021, 9:15 am
SEC Chair Gary Gensler has spoken about placing limits on 10b5-1 plans, signaling possible Commission action.Recommendation. [read post]
17 Jan 2024, 7:31 am
Even SEC Chair Gary Gensler had suggested that the enactment of the California laws could require the SEC to recalibrate its economic baselines for its own climate regulation. [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]
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]
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]
19 Jul 2023, 9:42 am
He noted SEC Chairman Gary Gensler also raised that issue in a speech earlier this week. [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]
3 Sep 2023, 5:17 pm
“We live in an historic, transformational age with regard to predictive data analytics, and the use of artificial intelligence,” said SEC Chair Gary Gensler. [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]
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]
17 Dec 2021, 5:35 am
As technology changes, it’s even more important that registrants ensure that their communications are appropriately recorded and are not conducted outside of official channels in order to avoid market oversight,” said SEC Chair Gary Gensler. [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]
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]
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]
