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18 Mar 2014, 9:30 pm
Last year, then-Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler released guidance on cross-border derivatives transactions, stoking the ire of both domestic market participants and EU authorities. [read post]
31 Jan 2022, 4:21 pm
SEC Chairman Gary Gensler is full of ideas for expanding the Security and Exchange Commission's security requirements for brokers, public companies, and those who service the financial industry. [read post]
2 Jun 2021, 1:08 pm
In April, Gary Gensler was confirmed as the Chair of the SEC. [read post]
20 Dec 2021, 11:56 am
The penalty is reportedly one of the first major enforcement actions brought under SEC Chair Gary Gensler, who has pledged to crack down on misconduct by Wall Street companies, according to Reuters. [read post]
4 Aug 2022, 6:30 am
In his statement, SEC Chair Gary Gensler indicated that the proposed amendments would “improve the shareholder proposal process” by providing “greater certainty as to the circumstances in which companies are able to exclude shareholder proposals from their proxy statements. [read post]
7 Jul 2021, 12:31 pm
Gary Gensler, Chair of the U.S. [read post]
25 May 2023, 2:10 pm
SEC Chairperson Gary Gensler recently stated that “bookkeeping sweeps are ongoing,” having resulted in well over $1 billion in fines so far. [read post]
16 Jul 2023, 6:30 am
According to Securities and Exchange Commission (SEC) Chair Gary Gensler, “In 2021, buybacks amounted to nearly $950 billion and reportedly reached more than $1.25 trillion in 2022”. [1] In 2023, the SEC revised rules issued in 1982 governing buybacks to require quarterly reporting of daily officer and director stock transactions that occur during a period of a stock repurchase program in addition to narrative disclosure of the details of the company’s buyback… [read post]
30 Jan 2024, 9:04 pm
This statement was issued on January 30, 2024, by Gary Gensler, chair of the U.S. [read post]
24 Sep 2021, 1:05 pm
In a press release announcing that milestone, SEC Chair Gary Gensler stated: “Today’s announcement underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws. [read post]
5 Feb 2010, 5:00 am
Earlier this week, Commodity Futures Trading Commission Chairman Gary Gensler clarified that no matter what you might have assumed back in 1983, Billy Ray Valentine (Eddie Murphy) and Louis Winthorpe III (Dan Aykroyd) did not commit insider trading when they made millions trading on orange juice futures in the movie Trading Places. [read post]
16 Mar 2024, 6:30 am
In the SEC’s announcement of the new rules, SEC Chair Gary Gensler underscored the objective of enhanced investor protection and articulated a three-prong approach covering disclosure, the use of projections by issuers and issuer obligations. [read post]
13 Jan 2012, 8:42 am
Heading into 2012, regulators will have some catching up to do, though many regulators, namely Securities and Exchange Commission (SEC) Chair Mary Schapiro and Commodity Futures Trading Commission Chair Gary Gensler, have repeatedly emphasized that they are more focused on “getting the rules right” than they are on meeting deadlines. [read post]
7 Jul 2021, 12:31 pm
Gary Gensler, Chair of the U.S. [read post]
5 Apr 2022, 5:40 am
“Over the years, our disclosure regime has evolved to reflect evolving risks and investor needs,” said SEC Chair Gary Gensler. [read post]
25 Jun 2021, 5:03 pm
While SEC Chairman Gary Gensler continues to push for a multi-agency approach, the case against Ripple means that in the short term Federal agencies will favor the “enforcement over regulation approach,” and approach that brings little clarity. [read post]
22 Jan 2023, 6:30 am
To address these concerns, the SEC issued a proposal about a year ago consistent with prior statements made by SEC Chair Gary Gensler, as well as recommendations made to the SEC by the Investor Advisory Committee, with respect to 10b5-1 Plans. [1] The proposal included new conditions to the availability of the Rule 10b5-1 affirmative defense, such as cooling-off periods between adoption of a 10b5-1 Plan and the first trade thereunder, limitations on multiple overlapping 10b5-1… [read post]
24 Jun 2021, 11:06 am
Gary Gensler, Chair of the Securities and Exchange Commission (SEC), will be delivering keynote remarks. [read post]
12 Oct 2011, 2:50 pm
Scott O’Malia, a Republican commissioner at the CFTC, said he spoke to CFTC Chairman Gary Gensler on Friday and quoted the chairman as saying, "We might, if it's the will of the commission, put forward ... a virtually identical proposal with the other regulators, or we could go it alone. [read post]
14 Jan 2010, 11:17 am
“These proposed rules for retail foreign exchange trading are important steps in implementing the additional consumer protections authorized in the 2008 Farm Bill,” CFTC Chairman Gary Gensler said. [read post]
