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20 May 2022, 6:21 am by John Jascob
Nelson, J.D.SEC Chair Gary Gensler’s backstory for the agency’s FY23 appropriations request is one that he could have delivered when he was chair of the CFTC—the agency is under-resourced for the size of the markets it is tasked with regulating. [read post]
19 May 2022, 6:36 am by John Jascob
., LL.M.The use of predictive data analytics and other digital engagement practices is rapidly transforming the way brokers and advisers engage with investors, but these electronic “behavioral nudges” raise important issues about the nature of investment advice and fairness in the financial markets, according to SEC Chairman Gary Gensler. [read post]
11 Sep 2012, 8:12 am by Elan Mendel
CFTC Cancels Customer Fund Protection VoteThe CFTC has cancelled an open meeting scheduled for Wednesday, September 12, after Commission Chairman Gary Gensler injured himself over the weekend. [read post]
13 Aug 2024, 2:25 pm by Steve Bainbridge
You will recall that a few weeks ago I posted Trump pledges to fire SEC Chair Gary Gensler: Does the President have the power to do so? [read post]
12 Nov 2024, 3:15 am by John Jenkins
With Gary Gensler on the way out, speculation quickly turned to who would become the next SEC chair? [read post]
11 Sep 2012, 1:46 am by David Zaring
Tim Geithner finishes in his age group top 10 in a triathlon, and fellow health nut/bank semi-scourge Gary Gensler falls and cracks three ribs. [read post]
10 May 2021, 7:16 am by Scott H. Kimpel
In a wide-ranging hearing before the House Financial Services Committee on May 6, 2021, SEC Chairman Gary Gensler addressed a number of SEC regulatory priorities, including the recent short-squeeze on so-called “meme stocks,” gamification of securities trading, broker-dealer payment for order flow, and climate change disclosure. [read post]
17 May 2023, 7:10 am by Unknown
By Suzanne CosgroveTracing the history of fires – real ones, like the Great Chicago Fire of 1871, and figurative flare-ups, like the global crisis of 2008, SEC Chairman Gary Gensler noted the past “is replete with times when fires in one corner of the financial system or at one financial institution spread to the broader economy. [read post]
17 Nov 2021, 12:32 pm by jeffreynewmanadmin
Securities and Exchange Commission (SEC) Gary Gensler has asked staff to recommend rules around ensuring principal trading firms (PTFs) are appropriately registered as dealers, calling for improved transparency in the world’s biggest bond market. [read post]