SEC Chair Testifies Before U.S. House Committee on Financial Services

By Gary Gensler April 24, 2023 by Gary Gensler

Good morning, Chairman McHenry, Ranking Member Waters, and members of the Committee. Thank you for inviting me to testify today. As is customary, I will note that my views are my own, and I am not speaking on behalf of …

SEC Chair Gensler Speaks on Alternative Trading Systems and the Definition of an Exchange

By Gary Gensler April 17, 2023 by Gary Gensler

Today [April 14], the Commission is considering whether to issue a supplemental release to our January 2022 proposal requiring significant trading platforms—including in the Treasury markets—to come under important rules for the markets. I believe this supplemental release would help

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SEC Chair Testifies on FY 2024 Budget Request Before House Subcommittee

By Gary Gensler April 6, 2023 by Gary Gensler

Good afternoon, Chair Womack, Ranking Member Hoyer, and members of the Subcommittee. Thank you for inviting me to testify today on the Securities and Exchange Commission’s Fiscal Year (FY) 2024 budget request. As is customary, I’d like to note that

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SEC Chair Gensler Speaks on Requirement to File Electronically

By Gary Gensler March 23, 2023 by Gary Gensler

Today [March 22], the Commission is considering a proposal under the Exchange Act to require broker-dealers and other registrants to submit forms electronically. I am pleased to support this proposal because, if adopted, it would advance the Commission’s efforts to

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SEC Chair Gensler on Recent Bank Failures, Enhanced Cybersecurity for Market Entities

By Gary Gensler March 16, 2023 by Gary Gensler

Good morning. This is an open meeting of the U.S. Securities and Exchange Commission on March 15th, 2023. I want to welcome members of the public who are listening in.

Before we get to today’s agenda, I want to address

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SEC Chair Gensler Speaks Before the Investor Advisory Committee

By Gary Gensler March 3, 2023 by Gary Gensler

Good morning. I am pleased to join the Investor Advisory Committee. As is customary, I’d like to note that my views are my own and I am not speaking on behalf of the Commission or SEC staff.

I want to

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SEC Chair Gensler on Proposed Rules About Investment Adviser Custody

By Gary Gensler February 17, 2023 by Gary Gensler

Today [February 15], the Commission is considering a proposal to expand and enhance the role of qualified custodians when registered investment advisers custody assets on behalf of their investors. I support this proposal because, in using important authorities Congress granted …

SEC Chair Gensler Addresses New Rules on the Settlement Cycle

By Gary Gensler February 16, 2023 by Gary Gensler

Today [February 15], the Commission is considering whether to adopt amendments to important features of the clearing and settling process. I support this adoption because it will reduce latency, lower risk, and promote efficiency as well as greater liquidity in

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SEC Chair Gensler Speaks Before Small Business Capital Formation Advisory Committee

By Gary Gensler February 8, 2023 by Gary Gensler

Good morning. It is good to join the advisory committee for your first meeting of the year. As is customary, I’d like to note that my views are my own and I am not speaking on behalf of the Commission …

SEC Issues Strategic Plan for Fiscal Years 2022-2026

By Gary Gensler January 26, 2023 by Gary Gensler

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SEC Chair Gensler on Final Amendments to Insider Trading Requirements

By Gary Gensler December 16, 2022 by Gary Gensler

Today [December 14], the Commission will consider whether to adopt amendments to Rule 10b5-1, as well as new required corporate disclosures related to executive officers’ and directors’ trading. I am pleased to support these new requirements because, if adopted, they …

SEC Chair Gensler Speaks on Enforcement

By Gary Gensler November 4, 2022 by Gary Gensler

My thanks to the Practising Law Institute and the 54^th Annual Institute on Securities Regulation. As is customary, I’d like to note that my views are my own, and I am not speaking on behalf of my fellow Commissioners

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SEC Chair Gensler on Rules Regarding Compensation Clawbacks

By Gary Gensler October 28, 2022 by Gary Gensler

Today [October 26], the Commission is considering adopting final rules mandated by the Dodd-Frank Act regarding clawbacks of erroneously awarded incentive-based compensation. I believe that these rules, if adopted, would strengthen the transparency and quality of corporate financial statements, investor

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SEC Chair Gensler Discusses Competition and the Two SECs

By Gary Gensler October 25, 2022 by Gary Gensler

Thank you, Ken [Bentsen]. As is customary, I’d like to note that my views are my own, and I’m not speaking on behalf of my fellow Commissioners or the SEC staff.

1933 was an important year in SEC history.

No,

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SEC Chair Gensler Speaks to Investor Advisory Committee

By Gary Gensler September 22, 2022 by Gary Gensler

Thank you. It is great to speak to the Investor Advisory Committee (IAC). As is customary, I’d like to note that my views are my own and that I am not speaking on behalf of the Securities and Exchange Commission …

SEC Chair Gensler on Proposed Rules for U.S. Treasuries Clearing

By Gary Gensler September 15, 2022 by Gary Gensler

Today [September 14], the Commission will consider whether to propose standards for covered clearing agencies (also known as clearinghouses) regarding the clearance of certain trades involving U.S. Treasury securities. I am pleased to support these rules because, if adopted, they …

SEC Chair Gensler Speaks on Crypto and the Securities Laws

By Gary Gensler September 9, 2022 by Gary Gensler

Joseph Kennedy, the first Chairman of the SEC, had a saying: “No honest business need fear the SEC.”[1]

In the depths of the Great Depression, Congress and President Franklin Delano Roosevelt (known for a slightly more famous quotation about

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SEC Chair Gensler on Final Rule About Pay Versus Performance

By Gary Gensler August 26, 2022 by Gary Gensler

Today [August 25], the Commission voted to adopt a rule requiring certain public companies to disclose information regarding their executives’ compensation and how such compensation relates to the company’s financial performance. I was pleased to support this rule—so-called “pay versus …

SEC Chair Gensler on Proposed Joint Amendments to Form PF

By Gary Gensler August 11, 2022 by Gary Gensler

Today [August 10], the Commission is considering whether to propose joint amendments with the Commodity Futures Trading Commission (CFTC) to Form PF, an important reporting tool that the Commission and the Financial Stability Oversight Council (FSOC) use, respectively, to protect

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SEC Chair Gensler Speaks on Re-Proposed Amendments to FINRA Membership Exemption

By Gary Gensler August 1, 2022 by Gary Gensler

Today [July 29], the Commission unanimously voted to re-propose amendments to Rule 15b9-1 regarding when broker-dealers are required to register with the Financial Industry Regulatory Authority (FINRA). These amendments would cause some of the most active participants in our equity …

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Columbia Law School's Blog on Corporations and the Capital Markets

Gary Gensler