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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]
23 Dec 2022, 6:30 am
., on Friday, December 16, 2022 Tags: Corporate governance, Executive Compensation, ISS, Proxy voting, Stewardship, Sustainability Statement by Chair Gensler on PCAOB’s Determinations Regarding Public Accounting Firms in China Posted by Gary Gensler, U.S. [read post]
23 Dec 2022, 6:30 am
., on Friday, December 16, 2022 Tags: Corporate governance, Executive Compensation, ISS, Proxy voting, Stewardship, Sustainability Statement by Chair Gensler on PCAOB’s Determinations Regarding Public Accounting Firms in China Posted by Gary Gensler, U.S. [read post]
22 Dec 2022, 6:04 am
This is in part because there isn’t a level playing field among different parts of the market: wholesalers, dark pools, and lit exchanges,” said SEC Chairman Gary Gensler in a statement. [read post]
20 Dec 2022, 6:22 am
While both consider the determination a positive step, SEC Chair Gary Gensler said much work remains, while Commissioner Jaime Lizárraga encouraged Congress to shorten the clock for mandatory delisting from three years to two.The PCAOB conducted thorough and systematic testing to determine that all three criteria for complete access were achieved. [read post]
16 Dec 2022, 9:02 pm
Gary Gensler, chair of the SEC, warned the public against listening to endorsements about investment advice. [read post]
16 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, EDGAR, MNPI, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Gary Gensler, U.S. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, EDGAR, MNPI, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Gary Gensler, U.S. [read post]
Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements
15 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
Statement by Chair Gensler on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements
15 Dec 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
14 Dec 2022, 5:12 am
The SEC said Bankman-Fried engaged in ever-larger diversions of FTX customer funds to prop up Alameda, which diversions took several forms, including: (1) telling FTX customers to deposit fiat currency in bank accounts under Alameda’s control; and (2) permitting Alameda to draw from a “virtually limitless ‘line of credit’” at FTX.According to SEC Chair Gary Gensler, commenting via press release, “[t]he alleged fraud committed by Mr. [read post]
29 Nov 2022, 3:15 am
BlockFi’s attempt to discharge this debt may not do the industry any favors with SEC Chair Gary Gensler – who was profiled by the NYT last week as the “Crypto Nemesis” – but at this point, maybe there’s nothing to lose. [read post]
28 Nov 2022, 5:14 am
According to Cornerstone, based on data obtained from the Securities Enforcement Empirical Database (SEED), which Cornerstone described as a collaboration between the NYU Pollack Center for Law & Business and Cornerstone, the SEC during the most recent fiscal year, the first full fiscal year under Chair Gary Gensler’s leadership, the SEC brought a total of 68 enforcement actions against public companies and/or those companies’ subsidiaries. [read post]
26 Nov 2022, 6:30 am
Last year, the SEC replaced all five Trump-era members, with SEC Chair Gary Gensler stating his hope that this would set the PCAOB “on a path to better protect investors by ensuring that public company audits are informative, accurate, and independent. [read post]
26 Nov 2022, 6:30 am
Last year, the SEC replaced all five Trump-era members, with SEC Chair Gary Gensler stating his hope that this would set the PCAOB “on a path to better protect investors by ensuring that public company audits are informative, accurate, and independent. [read post]
18 Nov 2022, 8:57 am
SEC chair Gary Gensler, a former campaign finance chair for Hillary Clinton, has long been cozy with Bankman-Fried, helping his business grow (when you give that much money, it’s only fair to get a little something back). [read post]
18 Nov 2022, 6:51 am
But he agrees with SEC Chair Gary Gensler that most of the nearly 10,000 digital asset tokens in the market are likely offered as securities, and he is concerned that intermediaries that sell, trade or advise on digital assets that are securities may be operating as unregistered market participants. [read post]
18 Nov 2022, 6:30 am
The Case of Fairness Opinions in M&A Posted by Adam Badawi (University of California, Berkeley), Matthew Cain (University of California, Berkeley), Steven Davidoff Solomon (University of California, Berkeley), on Tuesday, November 15, 2022 Tags: Compensation disclosure, Compliance and disclosure interpretation, Delaware cases, Disclosure, Earnings disclosure, Litigation disclosures 2022 CPA-Zicklin Index on Corporate Political Disclosure and Accountability Posted by Dan Carroll, Bruce Freed,… [read post]
