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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]
7 Nov 2022, 3:15 am
Insider trading is just one of the many topics that the SEC’s Enforcement Division is focused on right now, according to a PLI speech last week from SEC Chair Gary Gensler. [read post]
6 Nov 2022, 10:27 am
The press release concerning the rules’ adoption quotes SEC Chair Gary Gensler as saying that the new rules “fulfill Dodd-Frank’s mandate and Congress’s intention to prevent executives from keeping compensation received based on misstated financials. [read post]
4 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]
3 Nov 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
3 Nov 2022, 6:31 am
SEC Chair Gary Gensler suggested that the classification part of the proposal would keep funds honest about which of their assets are truly liquid, analogizing the problem to his inability to classify gummy bears as fruit. [read post]
3 Nov 2022, 6:30 am
Posted by Gary Gensler, U.S. [read post]
31 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
30 Oct 2022, 11:31 am
As the Journal noted in an October 26, 2022 editorial (here), the SEC under Chair Gary Gensler has been issuing regulations “at a furious pace. [read post]
30 Oct 2022, 6:32 am
Posted by Gary Gensler, U.S. [read post]
