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9 Apr 2021, 11:32 am
The confirmation vote for Gary Gensler, President Biden’s nominee to be the Chair of the SEC, is scheduled for the week of April 12. [read post]
9 Apr 2021, 6:00 am
Desperately Seeking FINRA Arbitration On Remand From Federal Court (BrokeAndBroker.com Blog)Statement on Senate Confirmation of Gary Gensler (SEC Statement)9Cir Reverses/Remands -- Says Investment Banker's Statutory Employment Claims Fall Under Explicit Language of Arbitration ProvisionsShannon Zoller, Plaintiff/Appellee, v. [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]
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]
31 Mar 2021, 1:09 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]
29 Mar 2021, 11:11 am
Senate will soon vote on the confirmation of Gary Genser as the next Chair of the SEC. [read post]
29 Mar 2021, 3:02 am
The Senate was previously scheduled to vote on Gary Gensler’s confirmation last week, but that didn’t happen. [read post]
26 Mar 2021, 3:03 am
Back in early March at his Senate confirmation hearing to serve as SEC Chair, Gary Gensler expressed support for the SEC to consider company political spending disclosures. [read post]
20 Mar 2021, 6:46 am
Senate Committee on Banking, Housing, and Urban Affairs held a nomination hearing to consider Gary Gensler’s candidacy for Chair of the Securities and Exchange Commission, or SEC. [read post]
19 Mar 2021, 7:03 am
Interim chief Allison Herren Lee keeps taking things off his plate. [read post]
19 Mar 2021, 6:04 am
Gary Gensler, President Biden’s nominee to be Chairman of the U.S. [read post]
12 Mar 2021, 12:35 pm
On March 12, Senator Charles Grassley (R-IA) sent a letter to Gary Gensler, President Biden’s nominee to be the next Chair of the U.S. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 4:35 pm
She is hopeful, however, SEC Chairman nominee Gary Gensler will provide this much needed certainty in the FinTech space. [read post]
9 Mar 2021, 3:03 am
ICOs: Investment Advisers Face Scrutiny This Reuters article says that in his confirmation hearings last week, SEC Chair nominee Gary Gensler signaled openness to additional crypto regulations if his nomination is approved. [read post]
