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15 Feb 2024, 9:01 pm
Good afternoon. [read post]
12 Aug 2022, 6:34 am
” “‘This is one of the first substantive pieces of guidance on Reg BI for the brokerage industry and the fiduciary standard for investment advisers’ under SEC Chairman Gary Gensler, Jim Lundy, a partner and member of the Securities Enforcement & Litigation Practice at Foley & Lardner LLP, said in an email. [read post]
3 Nov 2021, 7:05 am
On November 1, 2021, the President’s Working Group (PWG) released a long-awaited report on stablecoins (the “Report”).1 The Report outlines a number of significant legislative recommendations for Congress to consider as well as a number of interim measures that agencies should adopt under their existing authorities to protect against prudential risks in the near-term. [read post]
7 Nov 2023, 9:05 pm
To regulate artificial intelligence, or AI, it is important to look at the various, and often contradictory, settings where AI operates – and how it is treated there. [read post]
25 May 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
18 Apr 2024, 9:01 pm
It also means reviewing speeches like Chair Gensler’s recent speech on AI, which highlighted multiple other ways in which a firm’s AI use may heighten risk or implicate the federal securities laws.[15] He specifically discussed the conflicts of interests raised by AI for advisers, the problems presented by AI hallucinations, and the threat that AI could pose to the stability of our markets. [read post]
6 Jan 2025, 9:07 am
The SEC under the outgoing SEC Chair, Gary Gensler, is generally perceived to have been aggressive from an enforcement standpoint, and certainly was very active in issuing new regulations as well. [read post]
17 Nov 2020, 3:03 am
This Bloomberg piece names several contenders for a Biden appointment, including former head of the CFTC, Gary Gensler, former U.S. [read post]
12 Jul 2024, 4:34 am
News Sources Sackler Family Risks Litigation After Supreme Court Rejects Purdue Pharma Settlement CMS moves to patch $3 billion fraud problem Judge won’t block Mississippi law on discounts for hospitals’ contract pharmacies AbbVie asks US Supreme Court to weigh protections for attorney records Purdue creditors seek approval to sue Sackler family members Assisted by GAI and LLM Technologies Additional Reading Coinbase Battles SEC Over Access to Gary Gensler’s… [read post]
11 Jan 2024, 9:05 pm
SEC Chair Gary Gensler said, despite this action, the SEC does not “approve or endorse bitcoin” or “crypto trading platforms or intermediaries. [read post]
27 Mar 2022, 2:33 pm
” The rule, which SEC Chair Gary Gensler acknowledges is based on the U.K. [read post]
2 Mar 2025, 9:05 pm
” Former SEC Chair Gary Gensler warned firms about overstating their use of AI, and the commission has launched enforcement actions against suspected cases of AI washing (e.g., SEC, 2019).[1] Specifically, in the paper, we examine the determinants and informativeness of AI disclosures, focusing on whether public AI disclosure matches the level of investment in employees with AI skills or roles. [read post]
16 Sep 2021, 10:03 am
In announcing these awards, SEC Chair Gary Gensler stated that the awards “underscore[] the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the securities laws. [read post]
2 May 2024, 4:37 pm
As I noted in a post on this site at the time, last December, SEC Chair Gary Gensler specifically warned against AI-related misrepresentations, and cautioned reporting companies against so-called “AI-washing,” echoing concerns about climate change-related “greenwashing,” and referring to companies that attempt to burnish their investment profile with outsized claims about their AI-related opportunities. [read post]
31 May 2024, 5:26 am
Securities and Exchange Commission Chair Gary Gensler said the change will make the U.S. financial markets more resilient. [read post]
7 Aug 2024, 9:05 pm
SEC Chair Gary Gensler has likened staking rewards to yields from lending or interest-bearing securities, emphasizing the need for regulatory oversight to protect investors. [read post]
11 Aug 2024, 4:40 am
DORA, explained European tech protectionism is grounding our flights Assisted by GAI and LLM Technologies Additional Reading China Tightens State Secrets Law Amid Rising Data Security Concerns Coinbase Battles SEC Over Access to Gary Gensler’s Private Communications Source: ComplexDiscovery OÜ The post Exploring DORA: Financial Sector Prepares for Comprehensive Digital Resilience appeared first on ComplexDiscovery. [read post]
28 Mar 2024, 12:39 pm
Just as the ESG-related claims have to a significant extent involved these kinds of greenwashing claims, the AI-related claims that have emerged so far have involved a very close corollary to greenwashing – that is, what SEC Chair Gary Gensler called “AI washing,” which is the alleged effort by some firms to portray themselves or their products or services as AI-enabled, in order to burnish their AI credentials at a time when AI is of keen interest to investors. [read post]
4 Jan 2021, 9:00 am
Gary Gensler, a regulator under President Obama who is now also assisting the Biden transition team, enacted new regulations on the financial derivatives market when he was the Commodity Futures Trading Commission Chairman. [read post]
23 Jun 2009, 5:38 pm
Chairman Mary Shapiro (SEC) and Chairman Gary Gensler (CTFC) each testified before Congress to address the existing gaps in regulatory oversight of these securities-related OTC derivatives, and propose a new framework that would provide expand regulatory authority of the CTFC and SEC to oversee the OTC markets. [read post]
