Search for: "Caroline A. Crenshaw"
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29 Apr 2022, 6:36 am
Posted by Caroline A. [read post]
27 Aug 2021, 11:38 am
Crenshaw... [read post]
11 Dec 2021, 12:46 pm
Crenshaw)FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of) (BrokeAndBroker.com Blog)... [read post]
30 Mar 2021, 3:15 pm
Caroline A. [read post]
18 Mar 2021, 11:16 am
Caroline A. [read post]
25 Sep 2020, 6:17 am
Read: Statement of Commissioner Caroline Crenshaw on Whistleblower Program Rule Amendments SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 240 and 249 [Release No. 34-89963; File No. [read post]
2 Oct 2020, 6:11 am
Statement by Commissioner Crenshaw on Procedural Requirements and Resubmission Thresholds under Rule 14a-8 Posted by Caroline Crenshaw, U.S. [read post]
14 May 2021, 4:09 am
Crenshaw)FINRA Publishes Helpful Notice About Online Account Takeover (ATO) (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5856/finra-ato/As readers of the Broke... [read post]
6 May 2022, 6:01 am
Crenshaw, U.S. [read post]
6 May 2022, 6:01 am
Crenshaw, U.S. [read post]
22 Jan 2021, 3:03 am
Commissioners Hester Peirce, Elad Roisman and Caroline Crenshaw issued a statement congratulating Commissioner Lee on her designation as Acting Chair. [read post]
27 Oct 2020, 4:49 am
By John Filar AtwoodIn an unusual move, Commissioners Allison Herren Lee and Caroline Crenshaw have issued a statement in opposition to a no-action position taken by the staff of the SEC’s Division of Trading and Markets. [read post]
29 Dec 2020, 3:03 am
Commissioners Hester Peirce, Allison Herren Lee and Caroline Crenshaw issued a statement congratulating Commissioner Roisman’s designation as Acting Chair. [read post]
14 Jul 2022, 5:23 am
Lori Schock, Director of the Office of Investor Education and Advocacy, and Commissioner Caroline Crenshaw warned that holding a levered and/or inverse single-stock ETF is much riskier than holding the underlying stock, a traditional ETF, or even a non-single stock levered and/or inverse ETF.Single-stock ETFs provide leveraged, inverse or complex exposure to a single security rather than a portfolio of multiple securities as with typical ETFs. [read post]
22 Jun 2022, 3:15 am
Here’s an excerpt from Cydney Posner’s recent blog: While the proposed requirement to disclose material Scope 3 greenhouse gas emissions seems to be one of the most contentious—if not the most contentious—element of the SEC’s climate disclosure proposal (see this PubCo post and this PubCo post), two of the SEC’s Democratic Commissioners, Allison Herren Lee and Caroline Crenshaw, told Bloomberg that they think it still doesn’t go far enough.… [read post]
1 Dec 2023, 9:17 am
Commissioner Caroline Crenshaw drew a connection between the definition and the committee’s second topic, diversity, by warning that eroding investor protections may disproportionately harm underserved communities.The Small Business Capital Formation Advisory Committee met to discuss the accredited investor definition and diversity and the investment process. [read post]
14 Oct 2022, 7:09 am
By Lene Powell, J.D.SEC staff issued an FAQ stating that an investment adviser may consider factors relating to diversity, equity, and inclusion (DEI) in recommending other investment advisers to or selecting other advisers for its clients—if the use of such factors is consistent with a client’s objectives, the scope of the relationship, and the adviser’s disclosures.Commissioners Caroline Crenshaw and Jaime Lizárraga said the FAQ is a “step in the… [read post]
26 Apr 2023, 7:54 am
Crenshaw cited reports by Forbes and Bloomberg that suggested that some investors were unable to do so. [read post]
15 Mar 2021, 6:26 am
Posted by Caroline Crenshaw (U.S. [read post]
15 Mar 2021, 3:00 am
SEC Enforcement: Commissioner Crenshaw Throws a Grenade Last week, Commissioner Caroline Crenshaw gave a speech at the CII’s spring meeting. [read post]
