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13 Feb 2023, 10:27 am
According to the SEC’s rulemaking agenda, SEC Chairman Gary Gensler intends to amend the accredited investor definition by increasing the annual income and net worth thresholds. [read post]
13 Feb 2023, 7:28 am
By Mark S. [read post]
13 Feb 2023, 5:59 am
In the following guest post, Brian Baney, Senior Vice President, Head of Management and Professional Liability Claims, Ascot Group, Peter Trochev, Senior Vice President, Financial Institutions, Ascot Group, Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC, survey the current risk environment for private equity firms. [read post]
7 Feb 2023, 9:05 pm
Under Chair Gary Gensler, the U.S. [read post]
7 Feb 2023, 9:01 pm
These remarks were delivered on February 7, 2023, by Gary Gensler, chair of the U.S. [read post]
31 Jan 2023, 1:10 pm
To mark the occasion, SEC Chair Gary Gensler discussed the significance of this milestone in an official SEC YouTube video. [read post]
27 Jan 2023, 6:30 am
Bebchuk, Kobi Kastiel, Anna Toniolo (Harvard Law School), on Tuesday, January 24, 2023 Tags: Board of Directors, Corporate governance, Elon Musk, Shareholder activism, shareholder advocacy, Twitter ISS Updates Frequently Asked Questions for Equity Compensation Plans, Peer Group Selection and Compensation Policies Posted by Shaun Bisman and Jared Sorhaindo, Compensation Advisory Partners, on Wednesday, January 25, 2023 Tags: CARES Act, CEOs, EPSC, ISS, Proxy voting, S&P Dow Jones SEC… [read post]
27 Jan 2023, 6:30 am
Bebchuk, Kobi Kastiel, Anna Toniolo (Harvard Law School), on Tuesday, January 24, 2023 Tags: Board of Directors, Corporate governance, Elon Musk, Shareholder activism, shareholder advocacy, Twitter ISS Updates Frequently Asked Questions for Equity Compensation Plans, Peer Group Selection and Compensation Policies Posted by Shaun Bisman and Jared Sorhaindo, Compensation Advisory Partners, on Wednesday, January 25, 2023 Tags: CARES Act, CEOs, EPSC, ISS, Proxy voting, S&P Dow Jones SEC… [read post]
25 Jan 2023, 6:31 am
Posted by Gary Gensler, U.S. [read post]
25 Jan 2023, 6:31 am
Posted by Gary Gensler, U.S. [read post]
23 Jan 2023, 11:23 am
., Release No. 33-11149, January 19, 2023).SEC Chair Gary Gensler remarked on the settlement via press release. [read post]
22 Jan 2023, 6:30 am
To address these concerns, the SEC issued a proposal about a year ago consistent with prior statements made by SEC Chair Gary Gensler, as well as recommendations made to the SEC by the Investor Advisory Committee, with respect to 10b5-1 Plans. [1] The proposal included new conditions to the availability of the Rule 10b5-1 affirmative defense, such as cooling-off periods between adoption of a 10b5-1 Plan and the first trade thereunder, limitations on multiple overlapping 10b5-1… [read post]
22 Jan 2023, 6:30 am
To address these concerns, the SEC issued a proposal about a year ago consistent with prior statements made by SEC Chair Gary Gensler, as well as recommendations made to the SEC by the Investor Advisory Committee, with respect to 10b5-1 Plans. [1] The proposal included new conditions to the availability of the Rule 10b5-1 affirmative defense, such as cooling-off periods between adoption of a 10b5-1 Plan and the first trade thereunder, limitations on multiple overlapping 10b5-1… [read post]
19 Jan 2023, 4:11 am
The SEC continues to make cryptocurrency-related enforcement a top priority under Chair Gary Gensler, bringing 30 enforcement actions against digital-asset market participants in 2022, up 50% from the 20 actions brought in 2021 and the highest number since 2013, according to a Cornerstone Research report released today.The report, SEC Cryptocurrency Enforcement: 2022 Update, found that the SEC brought 24 litigation actions in U.S. federal courts and six administrative proceedings… [read post]
19 Jan 2023, 3:00 am
A report out yesterday from Cornerstone research points out that in 2022 (the first full year under SEC Chair Gary Gensler), crypto-related enforcement actions increased by 50%. [read post]
17 Jan 2023, 10:29 am
SEC Chair Gary Gensler noted, “Over the past two decades…we’ve heard from courts, commenters, and members of Congress that insiders have sought to benefit from the rule’s liability protections while trading securities opportunistically on the basis of material nonpublic information. [read post]
10 Jan 2023, 9:05 am
SEC Chair Gary Gensler noted, “Over the past two decades…we’ve heard from courts, commenters, and members of Congress that insiders have sought to benefit from the rule’s liability protections while trading securities opportunistically on the basis of material nonpublic information. [read post]
5 Jan 2023, 3:15 am
” (emphasis added) December 8, 2022: Per SEC Chair Gary Gensler on Speaking with Yahoo! [read post]
3 Jan 2023, 1:47 pm
The directors’ and officers’ liability environment is always changing, but 2022 was a particularly eventful year, with important consequences for the D&O insurance marketplace. [read post]
27 Dec 2022, 6:30 am
On November 15, 2022 the Securities and Exchange Commission announced the Division of Enforcement’s results for fiscal year 2022,[1] which ended on September 30, and was the first full year for the Division under the leadership of both Chair Gary Gensler and Director of Enforcement Gurbir Grewal. [read post]
