"The proposal’s broad sweep could mean that firms would spend inordinate amounts of resources to identify all covered technologies, evaluate and test those technologies to ...
"I urge people who have suggestions about how the Commission can right its course on crypto and innovation more broadly, to send them my way"
"There’s also those cases that will garner the attention of lawyers, compliance officers, and the like, far beyond this room—and yes, often get reported by ...
"There are really three situations where the Commission typically brings enforcement actions against compliance personnel"
"It is unsurprising that many compliance professionals feel a sense of trepidation as to how the Commission will exercise its enforcement authority. Left with only ...
"Shadow banks function by intermediating between borrowers and investors in capital markets, but they had structured themselves in ways that allowed them to evade many ...
"Today’s adoption is about reducing overall information asymmetries in the market, promoting transparency, allowing better-informed decision-making by investors, and improving liquidity, by shortening the filing ...
"My concerns extend also to the 13G changes, which would shorten filing timelines for large investors with no control intent.[19] Shortening filing deadlines for investors who ...
"The amendments to filing deadlines for Schedules 13D and G are appropriate in light of advances in the communications and technology used by market professionals ...
Gensler tells Congress the final private funds rule "was adjusted in multiple ways based on public feedback on the proposal"