Search for: "Gary Gensler"
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27 Jul 2022, 9:16 pm
In remarks yesterday to the Center for Audit Quality, SEC Chair Gary Gensler marked the 20-year anniversary of the Sarbanes-Oxley Act, as well as the Enron and WorldCom debacles that preceded it. [read post]
16 Sep 2021, 7:48 am
SEC Chair Gary Gensler said that the announcement “underscores the important role that whistleblowers play in helping the SEC detect, investigate, and prosecute potential violations of the... [read post]
18 Jun 2023, 5:17 am
Securities and Exchange Commission Chair Gary Gensler’s regulation of crypto is an uneven mess; digital-coin exchanges get approved by the commission to go public, only to be sanctioned later for selling crypto the agency doesn’t like. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [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]
15 Jun 2023, 5:45 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 Prashant Yerramalli is [...] [read post]
31 Aug 2021, 12:25 pm
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricane Ida making landfall on Aug. 29, 2021. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
9 Jul 2011, 8:28 am
From an FT article on international harmonization of derivatives regulation: Gary Gensler, chairman of the Commodity Futures Trading Commission, who is heading the US reform effort, said: “We’re trying to work hand in hand with the Europeans, trying to get similar comprehensive and comparable rules. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [read post]
29 Sep 2022, 9:40 am
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricanes Ian and Fiona. [read post]
10 Mar 2021, 10:00 pm
Morgan Lewis’s 15th annual 2020 Year in Review and a Look Forward provides a comprehensive overview and analysis of key 2020 US Securities and Exchange Commission (SEC) enforcement and examination developments, notable broker-dealer cases, and anticipated enforcement priorities for 2021, including under the potential leadership of SEC chair nominee Gary Gensler. [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]
30 Jun 2021, 11:05 am
Yesterday, Chair Gary Gensler and Investor Advocate Rick Fleming hosted a roundtable discussion with the students and faculty of the University of Texas at Arlington's Department of Finance and Real Estate. [read post]
18 Jul 2022, 1:20 pm
The Securities and Exchange Commission today announced that Jaime Lizárraga has been sworn into office as a Commissioner by Chair Gary Gensler. [read post]
23 Jul 2021, 12:55 pm
House Appropriations Committee (SEC Chair Gary Gensler)NYS Court Finds No Employment Status at AXAIn the Matter of the Claim of Dennis Lee, Appellant. [read post]
8 Jul 2009, 2:32 am
CFTC Chairman Gary Gensler [official profile] said that the different regulatory treatment given to agriculture commodities, for which the CFTC [read post]
29 Oct 2021, 11:44 am
FINRA Chair Murray Ironically Argues Against Self Regulation (BrokeAndBroker.com Blog)SEC Obtains Emergency Relief in Case Charging Claims Aggregator and Principals with Multi-Million Dollar Fraud (SEC Release)Penfield Man Going To Prison For Bilking Investors Out Of Hundreds Of Thousands Of Dollars (DOJ Release)Shareholder Proposals: Staff Legal Bulletin No. 14L (SEC Division of Corporation Finance)Statement regarding Shareholder Proposals: Staff Legal Bulletin No. 14L (Statement by SEC Chair… [read post]
