Search for: "Gary Gensler"
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28 May 2021, 8:56 am
Hendrickson Esq (BrokeAndBroker.com Blog)2021 Annual Conference: Robert Cook and Eileen Murray Fireside Chat (FINRA Unscripted)COLORADO DEFENDANT PLEADS GUILTY TO DEFRAUDING INVESTORS (DOJ Release)SEC Charges Massachusetts Investment Adviser with Defrauding Clients (SEC Release)Statement on the application of the proxy rules to proxy voting advice (Statement by SEC Chair Gary Gensler / June 1, 2021)Three FINRA AWCs and One Mess of an Arbitration Raise Unanswered Questions… [read post]
28 May 2021, 6:01 am
Securities and Exchange Commission has indicated that ESG disclosure regulation will be a central focus of recently confirmed SEC Chair Gary Gensler’s tenure. [read post]
27 May 2021, 2:02 pm
In April, Gary Gensler was confirmed as the new Chair of the SEC. [read post]
25 May 2021, 3:03 am
And, as part of his confirmation process, SEC Chair Gary Gensler’s response to questions indicate he would consider modernizing Rule 10b5-1. [read post]
24 May 2021, 6:35 am
By John Filar AtwoodSEC Chair Gary Gensler said that under his watch individual accountability will be an important part of the enforcement agenda, with the agency pursuing bars and similar relief, where appropriate. [read post]
19 May 2021, 12:22 pm
That same month, Gary Gensler was confirmed as the Chair of the SEC. [read post]
18 May 2021, 3:00 am
Many involved in the digital asset space have speculated that the SEC might be a more crypto-friendly environment with Gary Gensler as chair, under the assumption that his greater understanding of crypto would lead to a lighter regulatory touch. [read post]
17 May 2021, 1:56 pm
That same month, Gary Gensler was confirmed as the new Chair of the SEC. [read post]
17 May 2021, 6:32 am
He pointed out that Gary Gensler was sworn in as the new SEC chair only recently and that the Cyber Unit intends to follow his lead and his priorities. [read post]
17 May 2021, 3:00 am
Speaking before the SEC’s 8th Annual Conference on Financial Market Regulation, SEC Chair Gary Gensler reportedly stated that the Staff was working on a new rule addressing disclosure of human capital metrics. [read post]
14 May 2021, 10:19 am
Bloomberg reports: The SEC is preparing a plan for companies to report more information about their employees as it eyes new environmental, social, and governance disclosures, Chairman Gary Gensler... [[ This is a content summary only. [read post]
14 May 2021, 8:01 am
By Mark S. [read post]
13 May 2021, 7:06 am
But, the Statement does leave open the possibility that data gathered as part of this process could change the SEC’s current view that securities exchanges are not able adequately police fraudulent and manipulative conduct in the underlying market for Bitcoin, a sentiment that new SEC Chairman Gary Gensler echoed during recent Congressional testimony. [read post]
11 May 2021, 2:53 am
Last week, the House Financial Services Committee heard testimony from new SEC Chair Gary Gensler about January’s market volatility. [read post]
10 May 2021, 2:59 pm
On April 14, Gary Gensler was confirmed as the new Chair of the SEC. [read post]
10 May 2021, 7:16 am
In a wide-ranging hearing before the House Financial Services Committee on May 6, 2021, SEC Chairman Gary Gensler addressed a number of SEC regulatory priorities, including the recent short-squeeze on so-called “meme stocks,” gamification of securities trading, broker-dealer payment for order flow, and climate change disclosure. [read post]
10 May 2021, 2:56 am
SEC Chair Gary Gensler also said last week before the House Financial Services Committee that the Commission would likely propose disclosure rules later this year. [read post]
7 May 2021, 1:35 pm
Gary Gensler was confirmed as the new Chair of the SEC on April 14. [read post]
6 May 2021, 7:56 am
As we have previously noted, new SEC Chairman Gary Gensler brings a deep understanding of blockchain and digital assets to the agency. [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]
