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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]
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]
18 Nov 2022, 3:40 am
A recent speech by SEC Chair Gary Gensler on the Treasury market grabbed my attention because it was titled “The Beatles and the Treasury Market. [read post]
17 Nov 2022, 5:00 pm
She also agreed not to promote any crypto asset securities for 3 years.SEC Chair Gary Gensler observed that the case will “serve as a reminder that celebrities and others that the law requires them to disclose to the public when and how much they are paid to promote investing in securities. [read post]
17 Nov 2022, 1:14 pm
Discussion The data reflected in the two reports substantiates that the SEC was active and aggressive during FY 2022, the first full fiscal year of Gary Gensler’s tenure as Chair of the SEC. [read post]
16 Nov 2022, 9:00 am
The same month, Securities and Exchange Commission Chairman Gary Gensler, in a tussle with the U.S. commodities regulator and members of Congress over who gets to regulate crypto, stated: “If the platform goes down, guess what? [read post]
16 Nov 2022, 6:45 am
Posted by Gary Gensler, U.S. [read post]
16 Nov 2022, 6:45 am
Posted by Gary Gensler, U.S. [read post]
11 Nov 2022, 9:38 am
Recent news reports have suggested that the SEC may now be targeting investment advisers in its push to police retention of business communications, and SEC Chair Gary Gensler has confirmed that the SEC continues to investigate recordkeeping violations stemming from employees’ use of private communication channels for business. [read post]
11 Nov 2022, 8:47 am
We’re guessing Gary Gensler, et. al. suspect it’s not so good. [read post]
11 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
11 Nov 2022, 6:30 am
Securities and Exchange Commission, on Thursday, November 3, 2022 Tags: Dodd-Frank Act, Form N-PX, Proxy voting, Say on pay, SEC, SEC enforcement Statement by Chair Gensler on Final Amendments to Form N-PX Posted by Gary Gensler, U.S. [read post]
11 Nov 2022, 6:16 am
”During Gensler’s “Squawk Box” appearance, Sorkin had asked about a March 29, 2022 entry in Gensler's calendar indicating a meeting Gensler had with Bankman-Fried. [read post]
9 Nov 2022, 9:03 pm
“Private fund advisers, through the funds they manage, touch so much of our economy,” said SEC Chair Gary Gensler. [read post]
7 Nov 2022, 11:30 am
Amanda Fischer, currently Senior Counselor to Chair Gary Gensler, will be appointed Chief of Staff, effective…Read the Full Press ReleaseHave a securities law question? [read post]
