Newsmakers
If the GOP Wins Congress, What Would That Mean for Investors?
Odds are strong that Republicans will prevail in the midterms. Look out IRS and SEC.
Tag: Gary Gensler
Regulation
Kim Kardashian Agrees to Pay SEC $1.26 Million for Touting Crypto
Reality TV star also agreed not to promote digital tokens for three years for failing to disclose promotional payment.
Regulation
SEC, CFTC Propose Reporting Changes to Keep Up With Private Fund Industry
Regulators cite rapid growth and the increased complexity of the private fund industry for need to amend confidential filing rules.
Regulation
SEC Adopts Amendments to Proxy Voting Advice Rules
SEC leaders say the final amendments aim to avoid burdens on proxy voting businesses that may impair the timeliness and independence of their advice.
Regulation
SEC Adopts New E- Filing Rules
Changes aim to modernize regulator’s records management process and make filings more accessible to the public.
Newsmakers
SEC Plan to Bolster Money Market Funds Stirs Ire
Critics warn that the proposed new rules would drive out investors and plan sponsors.
Regulation
Proposed SEC Rules Look to Shed Light on Opaque SPAC Deals
Regulator aims to protect vulnerable investors from being left holding the bag after insiders have ‘cashed out.’
Regulation
Proposed SEC Rules Aim to Rein in High-Frequency Traders
Regulator says algorithmic trading requires expanding the definition of a dealer to level the playing field.
Regulation
SEC Proposes Cybersecurity Rule Changes for Public Firms
The regulator wants companies to better inform investors about their risks from hackers.
Regulation
Cryptocurrency Exchange to Pay $100 Million in Fines Over Lending Platform
BlockFi settles charges that it misled investors about the level of risk involved in its interest-bearing accounts.
Regulation
SEC Proposes New Rules for Private Funds, Cybersecurity Risk Management
EisnerAmper’s Louis Bruno says private fund managers will need to adapt to meet the new standards.
Regulation
SEC Proposes Reporting Changes for Private Equity, Hedge Fund Advisers
The regulator says the amendments would improve systemic risk assessment and bolster oversight.
Regulation
SEC Adopts New Contested Election Rules
The amendments will provide proxy voters the same options as shareholders voting in person.
Alternatives
Gensler Stands Up for the Robinhood Gang
It’s OK for meme investors to collaborate on social media, the SEC boss says. Too bad for short sellers.
SEC Mulls New Sustainable Fund Disclosure Rules
The regulator’s chief says he’s concerned about the greenwashing of ESG investments.