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10 Jan 2023, 9:05 am
SEC Chair Gary Gensler noted, “Over the past two decades…we’ve heard from courts, commenters, and members of Congress that insiders have sought to benefit from the rule’s liability protections while trading securities opportunistically on the basis of material nonpublic information. [read post]
19 Jan 2011, 11:53 am
CFTC Chair Gary Gensler noted that the study provides a basis on which the regulators can move forward with the required rule-writing to carry out the Dodd-Frank mandate, particularly noting that the study helps prevent regulatory arbitrage by covering both the cash and derivatives markets.As a preliminary matter, the Council suggested that the new Office of Financial Research established by Dodd-Frank could assist regulators in enforcing the Volcker Rule‘s prohibitions. [read post]
28 Oct 2021, 3:30 pm
SEC Chair Gary Gensler commented on the settlement, saying that it “illustrate[d] risks inherent to SPAC transactions, as those who stand to earn significant profits from a SPAC merger may conduct inadequate due diligence and mislead investors. [read post]
21 Nov 2024, 9:05 pm
Chair Gary Gensler’s term extends to April 2026, and while he can be removed only for cause, Chairs have historically resigned when there is a change of administration. [read post]
27 Jun 2024, 9:05 pm
SEC Chair Gary Gensler claimed rolling back the requirements would improve the timeliness and independence of proxy advisory firms. [read post]
12 Jul 2023, 9:01 pm
Today [July 12], the Commission is considering adopting final rules to enhance money market funds’ liquidity and investor protection. [read post]
17 Jan 2023, 10:29 am
SEC Chair Gary Gensler noted, “Over the past two decades…we’ve heard from courts, commenters, and members of Congress that insiders have sought to benefit from the rule’s liability protections while trading securities opportunistically on the basis of material nonpublic information. [read post]
5 Mar 2023, 1:24 pm
The press release quotes SEC Chair Gary Gensler as saying that the action against Peizer “comes the same week that updates amendments to Rule 10b5-1 become effective. [read post]
4 Aug 2024, 9:05 pm
For the last two years, the SEC under Chairman Gary Gensler has labored mightily to adopt new rules on climate change disclosures that would require, among other things, that large public companies disclose their carbon emissions.[1] The SEC’s premise here was both that investors wanted such information and that such disclosures might embarrass those public corporations forced to disclose the highest level of GHG emissions. [read post]
14 Sep 2023, 9:01 pm
Under the leadership of SEC Chair Gary Gensler, we are advancing a series of reforms to strengthen oversight of our financial markets. [read post]
22 Mar 2022, 11:19 am
This wave of new rules, Dunshee suggests, indicate that “the floodgates are opening for Chair Gary Gensler’s regulatory agenda. [read post]
17 Nov 2022, 1:14 pm
Discussion The data reflected in the two reports substantiates that the SEC was active and aggressive during FY 2022, the first full fiscal year of Gary Gensler’s tenure as Chair of the SEC. [read post]
26 Jun 2022, 9:05 pm
On June 10, 2022, U.S. senators Cynthia Lummis (R-WY) and Kirsten Gillibrand (D-NY) introduced S. 4356, their Responsible Financial Innovation Act, to transfer most regulation of cryptoproducts to the Commodity Futures Trading Commission (CFTC}, essentially ousting the SEC, presumably perceived to be a more aggressive regulator, from oversight of cryptoproducts that were securities. [read post]
19 Sep 2024, 9:05 pm
SEC Chair Gary Gensler said the one-penny minimum, first adopted in 2005, has become outdated. [read post]
17 Jan 2025, 6:00 am
Current SEC Chair Gary Gensler has announced that he will step down on Jan. 20, 2025, and President-elect Trump has since chosen former SEC Commissioner Paul Atkins to lead the agency. [read post]
10 Jul 2024, 9:01 pm
I’m thrilled to be back at my law school alma mater. [read post]
13 Jul 2021, 5:54 am
July 13, 2021 Clients, Friends, Associates: We hope that this message finds you well and that you are enjoying the first months of summer. [read post]
13 Jun 2024, 9:01 pm
Good morning, Chair Van Hollen, Ranking Member Hagerty, and members of the Subcommittee. [read post]
17 Feb 2025, 7:20 am
As I noted in my year-end roundup of D&O stories, Trump’s designee as SEC Chair, Paul Atkins, is seen as likely to change many of the policies under of the agency’s immediate past Chair, Gary Gensler. [read post]
17 Dec 2021, 11:17 am
SEC Turning Attention to Crypto ExchangesPYMNTS – December 13, 2021 Securities and Exchange Commission (SEC) Chairman Gary Gensler warned that cryptocurrency exchanges that don’t operate with SEC approval can expect to see more enforcement actions. [read post]
