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Gary Gensler - 1 Drew Angerer - 1 Gensler - 1 There's - 1 We'll - 1
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Washington , United States There's U.S
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. Securities - 1 Exchange - 1 Capitol - 1 SEC - 1 Securities and Exchange Commission - 1 Practicing Law Institute - 1 Gensler - 1 Securities - 1

Search resuls for: "Practicing Law Institute"


2 mentions found


☆ SEC Chair Gary Gensler signals that disclosure will be a key issue in the year ahead
  + stars: | 2024-04-02 | by ( Bob Pisani | ) www.cnbc.com   time to read: +6 min
The event allows the SEC to get its main messages across, and this year a key issue is "disclosure." Besides Gensler, all the SEC division heads and senior staff will be speaking. and then monitors Corporate America (investment advisers, investment companies, broker-dealers, etc.) This is all governed by the Investment Company Act of 1940 and the Investment Advisers Act of 1940. There's a division of investment management that monitors all the investment companies (that includes mutual funds, money market funds, closed-end funds, and ETFs) and investment advisers.
Persons: Gary Gensler, Drew Angerer, Gensler, There's, We'll Organizations: . Securities, Exchange, Capitol, SEC, Securities and Exchange Commission, Practicing Law Institute, Gensler, Securities, Investment, America, Corporate America, Mutual Locations: Washington ,, United States, There's, U.S
☆ U.S. SEC obtained $6.4 bln from enforcement in fiscal 2022 -chair
  + stars: | 2022-11-02 | by ( Chris Prentice | ) www.reuters.com   time to read: +1 min
WASHINGTON, Nov 2 (Reuters) - The U.S. Securities and Exchange Commission (SEC) obtained $6.4 billion from enforcement actions, including $4 billion in penalties, in fiscal 2022, the agency's chair Gary Gensler said on Wednesday. The large number of levies - collected in fines, judgments and other fees from about 700 enforcement actions - would mark a record, underscoring the Wall Street regulator's more aggressive stance against corporate wrongdoing under Democratic leadership. The total levied is higher than the previous year's $3.9 billion the SEC obtained from 697 actions and than 2020's record of $4.7 billion across 715 cases, according to a review of SEC's previous enforcement results. Gensler highlighted the SEC's enforcement activity in the year ended September 30 in prepared remarks at a Practicing Law Institute event. The agency is expected to publish its full enforcement report sometime this month.
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