Search for: "Gary Gensler"
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21 Mar 2023, 9:05 pm
After SEC Chair Gary Gensler expressed that the Commission may ban broker inducements, the trading platform Robinhood, which relies on payment for order flow for its revenue stream, threatened that it would challenge such a ban in court. [read post]
17 Mar 2023, 6:30 am
Securities and Exchange Commission, on Thursday, March 16, 2023 Tags: Cybersecurity, Data Privacy, investors, Regulation S-P, SEC enforcement, Transfer agents Statement by Chair Gensler on Amendments to Regulation S-P Posted by Gary Gensler, U.S. [read post]
17 Mar 2023, 6:30 am
Securities and Exchange Commission, on Thursday, March 16, 2023 Tags: Cybersecurity, Data Privacy, investors, Regulation S-P, SEC enforcement, Transfer agents Statement by Chair Gensler on Amendments to Regulation S-P Posted by Gary Gensler, U.S. [read post]
16 Mar 2023, 9:05 pm
SEC chair Gary Gensler noted that the “nature, scale, and impact of cybersecurity risks have grown significantly in recent decades,” and that these requirements would adapt existing legal protections to the challenges that digital stock transactions pose. [read post]
16 Mar 2023, 9:57 am
“This proposal would help promote every part of our mission, particularly regarding investor protection and orderly markets,” Gensler said.The big picture. [read post]
16 Mar 2023, 6:31 am
Posted by Gary Gensler, U.S. [read post]
16 Mar 2023, 6:31 am
Posted by Gary Gensler, U.S. [read post]
15 Mar 2023, 9:01 pm
These statements were issued on March 15, 2023, by Gary Gensler, chair of the U.S. [read post]
13 Mar 2023, 3:58 am
As we strap in for what could be a wild ride in the markets this week, SEC Chair Gary Gensler released the following (somewhat cryptic) statement last night: “In times of increased volatility and uncertainty, we at the SEC are particularly focused on monitoring for market stability and identifying and prosecuting any form of misconduct that might threaten investors, capital formation, or the markets more broadly. [read post]
12 Mar 2023, 2:05 pm
(Paul Kiernan, The Wall Street Journal).However, SEC Chairman Gary Gensler argues that investors and asset managers representing tens of trillions of dollars have called for companies’ climate-related disclosures to be more standardized. [read post]
12 Mar 2023, 6:30 am
During Chair Gary Gensler’s and Director of Enforcement Gurbir Grewal’s second year of leadership, several key enforcement priorities came into focus that will impact businesses across sectors. [read post]
12 Mar 2023, 6:30 am
During Chair Gary Gensler’s and Director of Enforcement Gurbir Grewal’s second year of leadership, several key enforcement priorities came into focus that will impact businesses across sectors. [read post]
10 Mar 2023, 8:17 am
Wells Fargo Won’t Refund Stolen Gov’t Payments, Suit AllegesLaw360 – March 9, 2022 (subscription required) All in all, this wasn’t a very good week for Securities and Exchange Commission Chairman Gary Gensler’s fight to win regulatory control over cryptocurrencies. [read post]
8 Mar 2023, 6:14 am
”The letter also criticized current SEC Chair Gary Gensler for, in the drafters’ view, deviating in recent rulemakings from a more principles-based approach to public company disclosures to a more prescriptive approach. [read post]
6 Mar 2023, 7:52 am
In a pre-session statement, SEC Chairman Gary Gensler did not directly address possible changes in customer account rules but highlighted a recently proposed safeguarding rule for investment advisers that would expand the current 2009 custody rule.The SEC’s current custody rule covers a significant amount of crypto assets, Gensler said. [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]
2 Mar 2023, 9:01 pm
These remarks were delivered on March 2, 2023, by Gary Gensler, chair of the U.S. [read post]
1 Mar 2023, 12:59 pm
Peizer violated Rule 10b5-1 as it has existed for two decades by establishing and executing trading plans while aware of non-public information,” said SEC Chair Gary Gensler. [read post]
1 Mar 2023, 5:07 am
,” the firm wrote in a memorandum in opposition to the motion to dismiss.The firm added that it will stop using the Ethereum Network and Ether DCU if such use constitutes unregistered securities transactions under the Federal Securities Act of 1933 (the “Securities Act”).As evidence of regulatory uncertainty, the firm said that SEC Chair Gary Gensler recently stated in an interview with New York Magazine that “everything other than bitcoin” is a… [read post]
21 Feb 2023, 9:22 am
"OCC is the sole registered clearing agency for exchange listed option contracts in the United States," said Chairman Gary Gensler in a statement released Thursday. [read post]
