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26 Nov 2022, 6:30 am
Last year, the SEC replaced all five Trump-era members, with SEC Chair Gary Gensler stating his hope that this would set the PCAOB “on a path to better protect investors by ensuring that public company audits are informative, accurate, and independent. [read post]
13 Jun 2011, 11:23 am
In a letter to CFTC Chair Gary Gensler, Chairman Lucas noted that some Dodd-Frank derivatives provisions will become effective before the regulations establishing a comprehensive oversight regime have been adopted.Market participants are concerned that the CFTC’s failure to identify which Dodd-Frank provisions take effect on July 16 and which will not has already raised a multitude of legal and pragmatic questions and complexities. [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]
24 May 2023, 4:00 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]
24 Mar 2022, 9:08 am
In 2021, SEC Secretary Gary Gensler gave a speech at the Aspen Institute in which he said… “Right now, we just don’t have enough investor protection in crypto. [read post]
15 Oct 2023, 5:36 pm
First, I wouyld be the first to concede that Gary Gensler's SEC and Congress folk like Elizabeth Warren pose a far greater danger to good corporate governance than the Delaware judiciary. [read post]
29 Apr 2022, 3:00 am
“The Name’s Bond:” Remarks at City Weekby Chair Gary Gensler The fixed income markets may not, on the surface, seem like the most cinematic part of the financial system. [read post]
2 Jul 2023, 6:30 am
Describing the new agenda, SEC Chair Gary Gensler observed that “[t]echnology, markets, and business models constantly change. [read post]
22 Jan 2021, 3:03 am
Earlier this week, the President nominated Gary Gensler to serve as SEC Chair and until he goes through the confirmation process, Acting Chair Lee will preside over a four-person Commission. [read post]
31 Mar 2022, 3:30 am
The SEC is pitching the proposal as a way to level the playing field between SPACs & traditional IPOs, which SEC Chair Gary Gensler emphasized in his statement on the proposal. [read post]
27 Jan 2023, 6:30 am
Bebchuk, Kobi Kastiel, Anna Toniolo (Harvard Law School), on Tuesday, January 24, 2023 Tags: Board of Directors, Corporate governance, Elon Musk, Shareholder activism, shareholder advocacy, Twitter ISS Updates Frequently Asked Questions for Equity Compensation Plans, Peer Group Selection and Compensation Policies Posted by Shaun Bisman and Jared Sorhaindo, Compensation Advisory Partners, on Wednesday, January 25, 2023 Tags: CARES Act, CEOs, EPSC, ISS, Proxy voting, S&P Dow Jones SEC… [read post]
2 Jul 2023, 6:30 am
Describing the new agenda, SEC Chair Gary Gensler observed that “[t]echnology, markets, and business models constantly change. [read post]
26 Apr 2022, 10:26 am
At National Whistleblower Day 2021, SEC Chair Gary Gensler stated that the agency’s whistleblower program “helps us be better cops on the beat, execute our mission, and protect investors from misconduct. [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]
18 Nov 2021, 3:15 am
The new proposal does not come as a huge surprise in light of SEC Chair Gary Gensler’s directive earlier this year to reconsider and refrain from enforcing the rules, which had been scheduled to go into effect December 1st. [read post]
8 Apr 2022, 8:54 am
“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]
14 Nov 2024, 9:01 pm
The SEC under President Trump Likely New SEC Chair – and, Perhaps, New IM Division Director The most immediate effect of an upcoming second Trump administration relates to the tenure of SEC Chair Gary Gensler. [read post]
16 Nov 2021, 4:28 pm
With Gary Gensler at the helm of the SEC, the regulatory environment is bound to change, because Mr. [read post]
23 Jun 2024, 6:02 am
Discussion As I noted on this site, SEC Chair Gary Gensler has warned about the possibility of companies misleading investors by their statements about the companies’ AI capabilities. [read post]
18 Jun 2021, 5:55 am
Delaney, Mayer Brown LLP, on Friday, June 11, 2021 Tags: Climate change, Environmental disclosure, ESG, Joe Biden, Risk, Risk management, Sustainability, Systemic risk The Director’s Guide to Shareholder Activism Posted by Maria Castañón Moats, Paul DeNicola, and Leah Malone, PricewaterhouseCoopers LLP, on Friday, June 11, 2021 Tags: Boards of Directors, ESG, Hedge funds, Institutional… [read post]
