What is the London Interbank Offered Rate, or LIBOR?
What is the London Interbank Offered Rate, or LIBOR—and why is its passing away actually a good thing for your house or car shopping?
Crypto Platforms & Securities Laws
SEC Chair Gary Gensler explains why intermediaries for investment contracts are required to comply with securities laws & register with the U.S. Securities and Exchange Commission.
Money Market Funds
Last year, we at the U.S. Securities and Exchange Commission proposed rules designed to enhance the transparency & the nature of assets held by money market funds.
Order Execution
The Securities and Exchange Commission proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange.
Tick Sizes
The U.S. Securities and Exchange Commission's proposed to amend certain rules under Regulation NMS to adopt variable minimum pricing increments, or “tick sizes,” for the quoting and trading of NMS stocks, reduce access fee caps for protected quotations, and accelerate the transparency of the best priced orders available in the market.
Order Competition Rule
In December, 2022, the U.S. Securities and Exchange Commission proposed a rule that would require certain orders of individual investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that restricts order-by-order competition.
What is a Qualified Custodian
The U.S. Securities and Exchange Commission proposed to expand & enhance the role of qualified custodians when registered investment advisers custody assets on behalf of investors.
Staking-as-a-Service
Today, the U.S. Securities & Exchange Commission charged Kraken for the unregistered offer and sale of securities thru its staking-as-a-service program. Whether it’s through staking-as-a-service, lending, or other means, crypto intermediaries must provide the proper disclosures & safeguards required by our laws.
SEC's Best Execution Proposal
The Securities and Exchange Commission proposed Regulation Best Execution, which would establish through Commission rules a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers.
Equity Market Structure Reform
The Securities and Exchange Commission during an open meeting on December 14 proposed four separate rulemakings related to equity market structure.
Crypto Lending Platforms
Crypto intermediaries need to comply with our securities laws. This protects investors. It promotes trust in markets. It’s not optional. It’s the law.
Cybersecurity & Cyber Hygiene in the Financial Sector
The U.S. Securities and Exchange Commission is working on cybersecurity & cyber hygiene policy around public issuers’ incident reporting & on data privacy in relation to the financial sector—so you're not spooked about where your data is.
What Did the Sarbanes-Oxley Act do?
In December 2001, the energy conglomerate Enron collapsed, wiping out $2B in retirement savings tens of thousands of jobs. As a result, 20 years ago last week, Congress enacted the Sarbanes-Oxley Act. What did Sarbanes-Oxley do?
What Are Crypto Trading Platforms?
We have rules in our capital markets to safeguard market integrity & protect against fraud & manipulation. If a company builds a crypto market that protects investors & meets the standard of our market regulations, people will more likely have greater confidence in that market.
The U.S. Treasury Markets Explained
Good public policy takes work, including hearing from the public. The Administrative Procedure Act helps ensure that we consider your input and stay within our mission and the chalk lines of our authority. Watch for more on the process.
Why Does the SEC Take Time When Developing Public Policies?
Good public policy takes work, including hearing from the public. The Administrative Procedure Act helps ensure that we consider your input and stay within our mission and the chalk lines of our authority. Watch for more on the process.
Investment Professionals & Investor Protection
When you make decisions with other people’s money, there are going to be conflicts of interest.
SEC Climate-Related Disclosure Proposal
When analysts analyze a stock or investors make investment decisions, they might build a model about the company’s future & risks to decide whether to buy, sell, or hold a stock.
The SEC & Climate Risk Disclosure
In the first episode of Office Hours with Gary, SEC Chair Gary Gensler talks about climate risk disclosure.
The SEC & Cryptocurrencies
In the second episode of Office Hours with Gary, SEC Chair Gary Gensler talks about cryptocurrencies.
The SEC, China & Offshore Shell Companies
In this episode of Office Hours with Gary Gensler, SEC Chair Gensler talks about China-based companies raising capital offshore, including through associated offshore shell companies.
Request for Comment on Digital Engagement Practices
In the fourth episode of Office Hours with Gary, SEC Chair Gary Gensler talks about digital engagement practices such asgamification and robo-advising.
The Basics of Investing
On World Investor Week, SEC Chair Gary Gensler outlines some of the basics of investing.
What is Proxy Voting?
On this episode of Office Hours with Gary Gensler, SEC Chair Gensler explains what proxy voting is and a new rule the Commission proposed.
Clawbacks Rule & Incentive-based Executive Compensation
In this episode of Office Hours, SEC Chair Gary Gensler breaks down clawbacks.
What Does Market Plumbing Have to Do With Meme Stocks?
In this episode of Office Hours, SEC Chair Gary Gensler breaks down market plumbing.
What is a SPAC anyway?
In this episode of Office Hours, SEC Chair Gary Gensler breaks down what a special purpose acquisition company (SPAC) is and potential concerns with SPAC investments.
Rule 10b5-1 Insider Trading Plans & Material Nonpublic Information
SEC Chair Gary Gensler explains some cracks in Rule 10b5-1 — a key insider trading rule. The core issue is that insiders regularly have material information that the public doesn’t have.
Cybersecurity and Securities Laws
The mission of the Securities and Exchange Commission (SEC) is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation.
Why Do Private Funds Matter?
SEC Chair Gary Gensler explains why private funds matter.
ESG Investing
If it’s easy to tell if milk is fat-free by just looking at the nutrition label, it might be time to make it easier to tell if “green” or “sustainable” funds are really what they say they are.
Modified: Aug. 25, 2023