All posts tagged "Gary Gensler"
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45Securities & TradingNYSE Launches First US ETF Linked to Bitcoin with SEC Approval
The ProShares bitcoin ETF had almost $1bn in turnover on the first trading day, after receiving a green light from the SEC last week.
October 21, 2021 -
160EnforcementUS Inspector General Probes Fed Officials’ Stock Trades
The Office of Inspector General will conduct an independent review to determine whether Fed officials violated ethics rules and the law.
October 6, 2021 -
174Securities & TradingUS SEC Moves to Boost Transparency on Proxy Votes
The proposed rule changes will make it easier for asset owners to see how asset managers are voting at AGMs.
October 4, 2021 -
190Securities & TradingSEC Issues Climate Reporting ‘Wake-Up Call’ to Listed Companies
Letters from the SEC covering topics such as materiality demonstrate the agency's commitment to climate, says Aniket Shah at Jefferies.
September 30, 2021 -
197Securities & Trading
SEC Committee Endorses Stricter Enforcement of SPAC Rules
The investor advisory committee recommended increased enforcement of existing disclosure rules for SPACs, including in relation to the sponsor's role.
September 14, 2021 -
441Enforcement
Global Regulators Heighten Scrutiny Over ESG Mislabelling – Reports
Increased scrutiny from US, EU and UK regulators have forced asset managers to review current practices for classifying funds as ESG-focused.
September 10, 2021 -
311Fintech / Regtech
US SEC Seeks Regulatory Oversight Over DeFi Platforms
SEC chairman Gary Gensler likens DeFi to P2P lending. In 2008, the SEC said promissory notes issued to P2P investors were securities.
August 26, 2021 -
253Securities & Trading
SEC Directs Chinese Firms to Issue Disclosures on VIE Structures
Chinese companies have started to receive instructions from the SEC on the disclosures they must provide on their use of VIEs for US-bound IPOs.
August 26, 2021 -
248China
US SEC to Require New Disclosures from Chinese Issuers
Chinese issuers with VIE structures will have to "prominently and clearly" disclose that they face uncertainty about future actions by the Chinese government.
July 31, 2021 -
271FeatureGary Gensler Sworn Into Office as New SEC Chair
Gary Gensler was sworn in as the new SEC chairman three days after the US Senate voted to approve his nomination.
April 19, 2021
