Search for: "Caroline A. Crenshaw"
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2 Feb 2023, 4:30 am
Earlier this week at the Northwestern Pritzker School of Law’s Securities Regulation Institute, SEC Commissioner Caroline Crenshaw delivered the Alan B. [read post]
10 May 2023, 9:05 pm
In January, Commissioner Caroline Crenshaw proposed a mandatory periodic disclosure regime for unicorns. [read post]
27 Jul 2023, 9:11 am
Gensler and Commissioners Caroline Crenshaw and Jaime Lizárraga voted to issue the proposal, while Commissioners Hester Peirce and Mark Uyeda voted against it.Based on the Commission’s analysis and extensive public input, the current framework on conflicts of interest needs to be modernized in light of new technology, said Lizárraga.Crenshaw pointed to recent developments in national policy on artificial intelligence. [read post]
27 Oct 2022, 5:39 am
As Commissioner Caroline Crenshaw explained, the reports will include a simplified expense table, more concise Management Discussion of Fund Performance, additional performance-related data, fund statistics, and a graphical representation of categories of portfolio holdings. [read post]
20 Mar 2023, 5:00 am
”Gensler also emphasized the requirement of the proposal that key market participants perform an annual “thorough, holistic, and interconnected” systems review, which he believes could help maintain technological resilience.Commissioner Caroline Crenshaw echoed these observations and also noted that alternative trading systems trading corporate debt or municipal securities were not included at Regulation SCI’s adoption because these entities relied less on… [read post]
13 Jul 2023, 5:22 am
“I am pleased to support this proposal because, if adopted, it would help protect customers in the event that a broker-dealer fails,” said Gensler.Commissioner Caroline Crenshaw said the proposal was a “common-sense” change that should help strengthen an important customer safeguard. [read post]
30 Sep 2021, 8:01 am
Commissioners Allison Herren Lee and Caroline Crenshaw also voiced their support for the proposed amendments. [read post]
21 Sep 2020, 4:00 am
Higdon, (In)Formal Marriage Equality, (July 19, 2020).Cynthia Conti-Cook, Surveying the Digital Abortion Diary: A Preview of How Anti-Abortion Prosecutors Will Weaponize Commonly-Used Digital Devices As Criminal Evidence Against Pregnant People and Abortion Providers in a Post-Roe America, (University of Baltimore Law Review, Forthcoming).Alyssa Bryant & Ezra Young, Transgender Politics: The Civil Rights of Transgender Persons, (Transgender and Gender Diverse Persons: A Handbook for Service… [read post]
17 Sep 2023, 9:01 pm
In January, Commissioner Caroline Crenshaw proposed a mandatory periodic disclosure regime for unicorns. [read post]
17 Apr 2023, 5:00 am
Taking a more focused view, Commissioner Caroline Crenshaw said some crypto asset securities currently trade on entities that do not meet the current definition of exchange under Rule 3b-16, but would meet the updated criteria in the proposal. [read post]
26 May 2021, 8:42 am
"However, Commissioners Allison Herren Lee and Caroline Crenshaw jointly expressed concerns about how the NYSE proposal would evolve the IPO process away from traditional, firm-commitment underwritten IPOs. [read post]
23 Oct 2020, 9:53 am
She added that with no active exchange currently in existence, there is enough time to more thoroughly evaluate how to encourage security futures.Echoing her colleague’s concerns, SEC Commissioner Caroline Crenshaw objected that the final rule did not articulate a sufficient rationale for making this change. [read post]
22 Jun 2020, 3:03 am
John blogged on Friday that the President nominated SEC Senior Counsel Caroline Crenshaw to fill the vacancy, but no timetable has been set for her confirmation. [read post]
23 Jul 2020, 6:06 am
I am delighted about the possibility of serving with Caroline Crenshaw, whose experience at the Commission, in the military, and in private practice would enrich our deliberations as a Commission. [read post]
15 Jun 2022, 9:32 pm
It was accompanied by statements from SEC Chair Gary Gensler and Commissioner Caroline Crenshaw that highlight the growing influence of index providers and model portfolio providers. [read post]
27 Jul 2021, 3:15 am
Shifting Approach to Corporate Penalties – In March, SEC Commissioner Caroline Crenshaw criticized the SEC’s 2006 guidance on its approach to penalties. [read post]
12 Sep 2020, 6:10 am
Crenshaw, to vote against the rule and to issue dissents. [read post]
24 Aug 2021, 6:12 am
Gensler observed that concerns have been raised, including by whistleblowers as well as by Commissioners Allison Herren Lee and Caroline Crenshaw, that those amendments “could discourage whistleblowers from coming forward. [read post]
22 Feb 2023, 3:30 am
As I noted in the blog earlier this month, SEC Commissioner Caroline Crenshaw recently gave a speech at the Northwestern Securities Regulation Institute during which she noted several areas of concern with Regulation D, and back in 2021, then Commissioner Allison Herren Lee gave speech at SEC Speaks outlining concerns with the growth of private markets and suggesting that the Commission revisit the definition of “held of record” in Exchange Act Rule 12g5-1. [read post]
18 Jan 2021, 11:30 am
These concerns were voiced by Democratic SEC Commissioners Allison Lee and Caroline Crenshaw in their dissenting opinions on last year’s vote on rule changes to the program. [read post]
