Gary Gensler

SEC Issues Risk Disclosure Guidance for Chinese Issuers
Risk & Compliance

SEC Issues Risk Disclosure Guidance for Chinese Issuers

“Recent events have highlighted the risks associated with investing in companies that are based in or that have the majority of their operations" in China.
By Matthew Heller | December 22, 2021
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SEC Proposes Tighter Insider Trading Rule for Execs
Risk & Compliance

SEC Proposes Tighter Insider Trading Rule for Execs

The proposal addresses the safe harbor for CFOs and other corporate executives who make trades as part of a pre-announced portfolio management plan.
By Matthew Heller | December 15, 2021
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SEC Chief Outlines Possible SPAC Reforms
Risk & Compliance

SEC Chief Outlines Possible SPAC Reforms

“Functionally, the SPAC target IPO is akin to a traditional IPO. Thus, investors deserve the protections they receive from traditional IPOs."
By Matthew Heller | December 9, 2021
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SEC Finalizes Rules on Chinese Issuers
Regulation

SEC Finalizes Rules on Chinese Issuers

The commission will use the rules to apply a law that allows it to delist issuers for failing to open their books to the PCAOB.
By Matthew Heller | December 3, 2021
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PCAOB Revamped With Four New Members
Regulation

PCAOB Revamped With Four New Members

“With these additions to the board, the PCAOB will have the leadership to meet the mission given to it by Congress.”
By Matthew Heller | November 9, 2021
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Will the SEC Finally Approve a Tougher Clawback Rule?
Regulation

Will the SEC Finally Approve a Tougher Clawback Rule?

A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.
By Vincent Ryan | October 11, 2021
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Will the SEC Finally Approve a Tougher Clawback Rule?
Regulation

Will the SEC Finally Approve a Tougher Clawback Rule?

A 2015 proposal, never adopted, would put the incentive-based compensation of other executive officers at risk.
By Vincent Ryan | October 7, 2021
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Two PCAOB Members Resigning
GAAP and IFRS

Two PCAOB Members Resigning

The departures of Rebekah Goshorn Jurata and Megan Zietsman come as the SEC weighs the appointment of an entire new board.
By Vincent Ryan | August 23, 2021
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SEC Backs Nasdaq’s Boardroom Diversity Plan
Risk & Compliance

SEC Backs Nasdaq’s Boardroom Diversity Plan

The decision "marks a historic moment for advocates and investors who have been pushing for [more diversity] in corporate America’s higher ranks."
By Matthew Heller | August 10, 2021
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New SEC Chief Aims to Tame Crypto ‘Wild West’
Risk & Compliance

New SEC Chief Aims to Tame Crypto ‘Wild West’

SEC Chair Gary Gensler says the industry is "rife with fraud" and if Congress doesn't act, "I worry a lot of people will be hurt."
By Matthew Heller | August 4, 2021
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SEC to Tighten Disclosure Rules for Chinese Firms
Risk & Compliance

SEC to Tighten Disclosure Rules for Chinese Firms

“The disclosures of U.S.-listed Chinese companies have not met the threshold of disclosure for other companies headquartered in the U.S."
By Matthew Heller | July 30, 2021
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SEC Taps New Jersey AG as Enforcement Chief
Risk & Compliance

SEC Taps New Jersey AG as Enforcement Chief

Gurbir Grewal "has the ideal combination of experience, values, and leadership ability to helm the Enforcement Division at this critical time.”
By Matthew Heller | June 30, 2021
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Gensler Ousts PCAOB Chair; Other Board Members to Follow
Corporate Finance

Gensler Ousts PCAOB Chair; Other Board Members to Follow

Besides removing William D. Duhnke III, the SEC said it intends to seek candidates to fill the other Board positions.
By Vincent Ryan | June 7, 2021
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PCAOB Critics Call On Gensler to Clean House
Regulation

PCAOB Critics Call On Gensler to Clean House

"We do not believe the current Board members are up to the task of re-focusing the PCAOB on its core mission," says an investor group.
By Vincent Ryan | May 20, 2021
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SEC Reviewing Rules for ‘Gamified’ Trading Apps
Risk & Compliance

SEC Reviewing Rules for ‘Gamified’ Trading Apps

“If we don’t address this now, the investing public may shoulder a burden later,” SEC Chairman Gary Gensler says.
By Matthew Heller | May 6, 2021
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