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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]
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]
23 Sep 2021, 8:41 am
By John Filar AtwoodIn a letter to SEC Chair Gary Gensler, several industry groups urged the SEC to review stablecoins such as USD Coin and Thether and other digital assets to ensure they are complying with the federal securities laws. [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]
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]
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]
19 Jul 2023, 9:42 am
He noted SEC Chairman Gary Gensler also raised that issue in a speech earlier this week. [read post]
28 Jan 2022, 5:47 am
Securities and Exchange Commission, on Thursday, January 27, 2022 Tags: Disclosure, Financial crisis, Financial reporting, Form PF, Hedge funds, Investor protection, Private funds, SEC, Securities regulation, Systemic risk Statement by Chair Gensler on Form PF Posted by Gary Gensler, U.S. [read post]
12 Dec 2021, 5:10 pm
The SEC is Watching: In a December 9, 2021 speech (here), SEC Chair Gary Gensler went out of his way to share his concerns that SPAC investors may not be getting the same protections as IPO investors. [read post]
14 May 2021, 8:01 am
By Mark S. [read post]
24 Sep 2021, 5:00 am
While there is no clarity what the coming human capital disclosures will be, Siegel observed that SEC Chair Gary Gensler tweeted that some of the things he is thinking about include workforce turnover, which could be just a percentage of workforce turnover, and skills and development training. [read post]
30 Aug 2022, 5:01 am
As SEC Chair Gary Gensler explained earlier this year, “Other government entities, such as the Federal Bureau of Investigation and CISA, captain Team Cyber, but the SEC has a role to play as well. [read post]
20 Feb 2024, 11:40 am
This proposed rule marks the first climate-related disclosure under SEC Chair Gary Gensler. [read post]
22 Jun 2009, 6:59 am
Gensler, regulators must regulate both derivatives dealers and derivatives markets.According to Mr. [read post]
21 Apr 2021, 4:39 pm
Not only have we seen a tremendous shift in capital towards ESG and sustainable investment strategies, but ESG risks and metrics underpin many traditional investment analyses on investments of all types …[v] With Gary Gensler’s Senate confirmation as SEC Chair on April 14, investors can anticipate policy consistency. [read post]
10 Feb 2022, 2:35 pm
“These amendments, if adopted, would help ensure that whistleblowers are both incentivized and appropriately rewarded for their efforts in reporting potential violations of the law to the Commission,” said SEC Chair Gary Gensler. [read post]
18 Nov 2022, 6:30 am
The Case of Fairness Opinions in M&A Posted by Adam Badawi (University of California, Berkeley), Matthew Cain (University of California, Berkeley), Steven Davidoff Solomon (University of California, Berkeley), on Tuesday, November 15, 2022 Tags: Compensation disclosure, Compliance and disclosure interpretation, Delaware cases, Disclosure, Earnings disclosure, Litigation disclosures 2022 CPA-Zicklin Index on Corporate Political Disclosure and Accountability Posted by Dan Carroll, Bruce Freed,… [read post]
8 Apr 2021, 3:00 pm
Gary Gensler, President Biden’s nominee to be the next chair of the SEC, recently answered questions from Senator Chuck Grassley about how he would oversee the SEC Whistleblower Program. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, EDGAR, MNPI, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Gary Gensler, U.S. [read post]
1 Sep 2022, 8:35 am
These statements, alongside the statement of SEC Chair Gary Gensler, showcase the SEC’s strong commitment to its whistleblower program. [read post]
