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SEC Chair Gary Gensler believes these rules will “better protect investors by requiring that investment advisers take steps to continue to meet their fiduciary and other legal obligations regardless of whether they are providing services in-house or through outsourcing, whether through third parties or affiliates. [read post]
27 Oct 2022, 5:39 am by Unknown
According to Gensler, shareholder documents are among the most important documents fund investors receive, but retail investors often have to sift through over 100 pages of information. [read post]
26 Oct 2022, 12:56 pm by Geoff Schweller
In announcing the rule amendments, SEC Chair Gary Gensler praised the whistleblower program noting that it “has greatly aided the Commission’s work to protect investors. [read post]
25 Oct 2022, 3:15 am by David Lynn
SEC Chair Gary Gensler picked up on this theme in a speech at the SIFMA Annual Meeting yesterday, setting up his remarks by noting how both the Commission and the Southeastern Conference were born in 1933, and both organizations are focused on competition. [read post]
21 Oct 2022, 7:05 am by John Jascob
Nelson, J.D.A group of 10 GOP members on the House Financial Services Committee led by Ranking Member Patrick McHenry (R-NC) sent a letter to SEC Chair Gary Gensler seeking further explanation for the agency’s reopening release issued October 7, 2022, which reopened the comment period on 11 proposed rulemakings in which some public commenters’ comments were not received by the SEC due to a technical error. [read post]
21 Oct 2022, 2:52 am by Liz Dunshee
Companies and their advisors aren’t the only ones struggling to keep pace with SEC Chair Gary Gensler’s “front-loaded” rulemaking agenda – the Staff is also feeling the pressure, according to a recent report from the SEC’s inspector general and a related WSJ article. [read post]
17 Oct 2022, 6:30 am
Rulemaking Activity An Active Rulemaking Period with Gary Gensler at the Helm of the SEC Since taking office as the SEC Chair in April 2021, Gary Gensler’s SEC has been busy publishing rule proposals, targeting current hot-button areas such as issuer share repurchases, insider trading and cybersecurity as well as topics such as clawback rules and pay-versus-performance disclosure, which have been a part of the SEC agenda since the Dodd-Frank Act was enacted… [read post]
16 Oct 2022, 6:30 am
The landscape appears to be changing under Gary Gensler’s leadership of the SEC. [read post]
SEC Chair Gary Gensler stated that Kardashian’s case is “a reminder to 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]
5 Oct 2022, 8:00 am by Geoff Schweller
By failing to honor their recordkeeping and books-and-records obligations, the market participants we have charged today have failed to maintain that trust,” said SEC Chair Gary Gensler. [read post]
4 Oct 2022, 7:32 am by Geoff Schweller
In August, SEC Chair Gary Gensler noted that the whistleblower program “has greatly aided the Commission’s work to protect investors. [read post]
4 Oct 2022, 6:13 am by John Jascob
The SEC had argued in opposition that it did not alter the compliance date and had only stated that it would forebear enforcement for a limited time, an internal staff position that is not legally binding and which does not require notice and comment rulemaking.The district court emphasized that the SEC took a trio of actions on a single day that together amount to a suspension of the compliance date of the proxy adviser rulemaking; those actions were: (1) SEC Chair Gary Gensler… [read post]
3 Oct 2022, 3:30 pm by Gonzalo E. Mon
” SEC Chair Gary Gensler noted that the case “serves as a reminder to 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]
3 Oct 2022, 1:16 pm by Staci Zaretsky
The post Kim Kardashian Receives Kind Words, $1.26M In Fines For Illegal Crypto Promo From SEC Chair Gary Gensler appeared first on Above the Law. [read post]
3 Oct 2022, 7:52 am by Silver Law Group
But in June of 2022, the current SEC chairman, Gary Gensler, said that Bitcoin was the only cryptocurrency he was comfortable calling a commodity. [read post]
29 Sep 2022, 9:40 am by Mark Astarita
SEC Chair Gary Gensler has directed the staff to carefully monitor developments as a result of Hurricanes Ian and Fiona. [read post]
28 Sep 2022, 3:33 am by Liz Dunshee
If complaints against the SEC’s ambitious rulemaking agenda are getting to SEC Chair Gary Gensler, then last week’s Investor Advisory Committee must have been a nice pick-me-up. [read post]
20 Sep 2022, 8:00 am by Savage Villoch Law, PLLC
Signaling the potential future of cryptocurrency regulation in the United States, Gary Gensler, the Chairman for the Securities and Exchange Commission (SEC), shared his perspective that the majority of crypto tokens are indeed securities under U.S. law while presenting at the SEC Speaks event in early September. [1] Along with the sharing his viewpoint that the majority of crypto tokens and cryptocurrency intermediaries are subject to federal securities laws and regulations,… [read post]
16 Sep 2022, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, September 16, 2022 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of September 9-15, 2022 Speech by Chair Gensler on Kennedy and Crypto Posted by Gary Gensler, U.S. [read post]