Search for: "Gary Gensler"
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14 Jun 2023, 9:11 am
When announcing the enforcement action, SEC chair Gary Gensler explained, “The fact that Momentus lied to Stable Road does not absolve Stable Road of its failure to undertake adequate due diligence to protect shareholders. [read post]
13 Jun 2023, 2:18 am
Yerramalli previously served as SEC Chairman Gary Gensler's Chief of Staff At Public, Yerramalli will focus on building new fixed-income products for retail investors NEW YORK , June 13, 2023 /PRNewswire/ -- Public , an investing platform that allows members to invest in stocks, treasuries, ETFs, crypto , and alternative assets, announced today that [...] [read post]
8 Jun 2023, 9:56 am
Also, new Rules 101(c)(2)(ii) and 102(d)(2)(ii) except asset-backed securities offered in accordance with an effective shelf registration statement filed on Commission Form SF-3; andRequire broker-dealers relying on the new exception for certain nonconvertible debt securities and nonconvertible preferred securities to abide by new Rule 17a-4 paragraph (b)(17), which mandates the broker-dealers to preserve the written probability of default determination for not less than three years, the first two… [read post]
7 Jun 2023, 9:01 pm
This statement was issued on June 7, 2023, by Gary Gensler, chair of the U.S. [read post]
7 Jun 2023, 7:13 pm
House of Representatives this week revealed that companies had desperately sought the agency’s help to properly register but were turned away.SEC Chair Gary Gensler has a go-to crypto [...] [read post]
7 Jun 2023, 6:47 am
"We allege that Coinbase, despite being subject to the securities laws, commingled and unlawfully offered exchange, broker-dealer, and clearinghouse functions," said SEC Chair Gary Gensler. [read post]
6 Jun 2023, 9:33 am
Discovered in April 2022, SEC Chairman Gary Gensler has directed the implementation of enhanced data access controls to prevent further lapses, the Commission said.While the data breach was not found to be deliberate, and the investigation failed to uncover evidence that the lapse resulted in harm to any respondent or affected the Commission’s adjudication in any proceeding, “we have nevertheless determined to dismiss, as a matter of discretion, all pending proceedings… [read post]
31 May 2023, 9:47 am
Gary Gensler, who chairs the U.S. [read post]
31 May 2023, 9:33 am
SEC Identified Problems With ESG-Investment Claims Shortly after the task force’s creation, SEC chair Gary Gensler gave a speech outlining the scope of the SEC’s interest in ESG issues. [read post]
30 May 2023, 6:30 am
By Jay Fishman, J.D.SEC Chair Gary Gensler spoke to the Investment Company Institute (ICI) about Commission fund proposals at the ICI’s Leadership Summit held in Washington D.C. from May 23rd to May 25th. [read post]
26 May 2023, 6:30 am
., on Friday, May 19, 2023 Tags: Board of Directors, Executive Compensation, Investment Stewardship, Risk, Shareholder activism, strategy Remarks by Chair Gensler before the Inaugural Conference on Emerging Trends in Asset Management Posted by Gary Gensler, U.S. [read post]
26 May 2023, 6:30 am
., on Friday, May 19, 2023 Tags: Board of Directors, Executive Compensation, Investment Stewardship, Risk, Shareholder activism, strategy Remarks by Chair Gensler before the Inaugural Conference on Emerging Trends in Asset Management Posted by Gary Gensler, U.S. [read post]
25 May 2023, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff. [read post]
25 May 2023, 2:10 pm
SEC Chairperson Gary Gensler recently stated that “bookkeeping sweeps are ongoing,” having resulted in well over $1 billion in fines so far. [read post]
24 May 2023, 4:00 pm
SEC Chairperson Gary Gensler recently stated that “bookkeeping sweeps are ongoing,” having resulted in well over $1 billion in fines so far. [read post]
23 May 2023, 9:05 pm
As senator Gary Peters – one of the authors of the Dodd-Frank Act – wrote to regulators including Gary Gensler and Jay Powell in March: Section 956 of Dodd-Frank was intended to require financial regulators to quickly and collaboratively issue rules requiring financial institutions to disclose any incentive-based executive compensation arrangements that encourage excessive risk-taking at financial institutions or that may lead to financial loss. [read post]
23 May 2023, 9:01 pm
I am pleased to welcome everyone to the Division of Investment Management’s inaugural Conference on Emerging Trends in Asset Management. [read post]
22 May 2023, 5:53 am
The ICI and/or several of its members have met with SEC officials regarding the proposed Fund ESG Rule (and a related fund names proposal) six times since the Commission issued the proposal almost a year ago, including twice with Chair Gary Gensler and SEC staff, and once each with Commissioners Jaime Lizárraga and Mark T. [read post]
20 May 2023, 6:30 am
Posted by Gary Gensler, U.S. [read post]
20 May 2023, 6:30 am
Posted by Gary Gensler, U.S. [read post]
