Reynolds Holding

APRIL 23, 2023

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 my fellow Commissioners or the staff. Sam Rayburn and the U.S. Rayburn was not new to the issues of stocks and bonds.

Treasury 45

Treasury Marketability Finance Technology 45

Reynolds Holding

JUNE 23, 2022

4] We once worked to help small and emerging companies raise the funds that are their lifeblood; we now work to increase their costs and shrink their investor base. [5] 4] We once worked to help small and emerging companies raise the funds that are their lifeblood; we now work to increase their costs and shrink their investor base. [5]

Treasury 45

Treasury Marketability Compliance Finance 45

Reynolds Holding

MARCH 16, 2023

Non-bank financial intermediation (NFBI) – encompassing a broad range of capital sources, including broker-dealers, private funds, and open-end funds (OEFs) – is vital for the financing of the real economy, serving as a critical complement to the traditional banking sector.

Banking 59

Banking Treasury Marketability Finance 59

Reynolds Holding

MAY 18, 2022

These statutes created requirements and regulations around disclosure, registration, exchanges, and broker-dealers, and established the SEC to oversee the markets. We are the destination of choice for companies seeking to raise money in both public and private markets. The Gold Standard of Capital Markets. What’s more, U.S.

Marketability 59

Marketability Finance Corporate Finance Technology 59

Reynolds Holding

OCTOBER 24, 2023

3] Regardless of whether you are a regulator, financial professional, or an attorney who counsels large entities, you should all be concerned. 3] Regardless of whether you are a regulator, financial professional, or an attorney who counsels large entities, you should all be concerned. 1] No sector is immune from this trend.

Compliance 40

Compliance Accounting Firms Start-ups Marketability 40

Reynolds Holding

OCTOBER 25, 2023

But it would create powerful economic incentives for LBOs that are not global systemically important banking organizations (non-GSIB LBOs) to become larger so that they have the scale to bear the increased costs of that flattening of regulatory tailoring and remain competitive. The Federal Reserve OIG issued a report on SVB’s failure.

Banking 40

Banking Start-ups Venture Capital Fund Equity 40

Cooley M&A

FEBRUARY 1, 2024

2023’s much-discussed downturn in mergers & acquisitions – with global M&A volume and value down 6% and 17%, respectively, from 2022 – was largely driven by the slowdown in the tech sector, with global tech M&A volumes down 51% year over year, while other sectors saw marked increases. [1] billion leading the pack.

Equity 59

Equity Finance Marketability Start-ups 59

Reynolds Holding

APRIL 19, 2023

On February 15, 2023, the SEC proposed a sweeping new rule (Proposed Rule) which would replace current Rule 206(4)-2 (Custody Rule) under the Investment Advisers Act of 1940 (Advisers Act or Act). It regulates the custody practices of investment advisers registered (or required to register) under the Advisers Act.

Banking 45

Banking Compliance Technology Marketability 45

ThomsonReuters

JANUARY 30, 2023

During an early-December 2022 NCSL Forecast 2023 meeting he explained the challenge to employ workers has been echoed by legislators nationwide. During an early-December 2022 NCSL Forecast 2023 meeting he explained the challenge to employ workers has been echoed by legislators nationwide. to $15 per hour, effective July 1, 2023.

Marketability 105

Marketability 105

Benzinga

JUNE 14, 2023

Through the Transaction, Gibson acquires the South Texas Gateway Terminal ("STGT" or the "Terminal") which is positioned as one of the most competitive liquids terminal and export facilities globally with direct pipeline connections to low-cost, long reserve-life resource supply, and very large crude carrier ("VLCC") capabilities.

Dividends 40

Dividends Equity Finance EBITDA 40

Reynolds Holding

JANUARY 22, 2024

During his tenure, the Commission adopted a very significant and impactful regulation — rule 146 under the Securities Act of 1933 (the “Securities Act”). [1] During his tenure, the Commission adopted a very significant and impactful regulation — rule 146 under the Securities Act of 1933 (the “Securities Act”). [1] Ralston Purina Co. [4]

Start-ups 45

Start-ups Marketability Price to Earnings Finance 45

Reynolds Holding

MAY 2, 2023

The 1990s also was pretty relevant for the private fund field. The Managed Funds Association was founded in 1991. (As Congress passed amendments in 1996 to the securities laws that included a new exception from registration allowing private funds to have an unlimited number of qualified investors. [1]

Treasury 45

Treasury Equity Marketability Banking 45

Reynolds Holding

FEBRUARY 1, 2023

Thank you Thomas [Kim] for that lovely introduction and I’m very pleased to be here at the Securities Regulation Institute giving the Alan B. 1] Over the past decades, private securities offerings have grown at a significantly faster rate than public offerings. [2] Today I’ll talk about Rule 506 of Regulation D (“Reg D”).

Marketability 58

Marketability Corporate Finance Compliance Equity 58

Reynolds Holding

MARCH 6, 2023

I am honored to speak to this distinguished group of academics, practitioners, and regulators at today’s “Going Public in the 2020s” conference. The cost to execute trades has decreased dramatically. Good morning and thank you, [Columbia Law School] Dean [Gillian] Lester, for the introduction. stock exchange was slightly over 8,000. [3]

Compliance 45

Compliance Marketability Start-ups Banking 45

Reynolds Holding

SEPTEMBER 7, 2023

On August 29, 2023, US federal banking regulators issued a proposal for long-term debt (“LTD”) requirements for certain midsize and larger US banking organizations (the “LTD Proposal”). Comments on the LTD Proposal must be submitted by November 30, 2023.

Banking 40

Banking Finance Equity Marketability 40

Reynolds Holding

MAY 9, 2023

This paves the way for a low-cost alternative to a traditional proxy fight. There is reason to believe the SEC’s new universal proxy Rule 14a-19 will result in more stockholder nominees being elected to the boards of public companies. Second, the new rule eliminates the need for activists to mail their own proxy card.

Dividends 45

Dividends Finance Equity Marketability 45

Reynolds Holding

APRIL 15, 2024

While Custodia is subject to state prudential regulation, it is not FDIC-insured or subject to federal prudential regulation and does not have a holding company subject to Federal Reserve oversight. Its business model is to provide banking services to crypto-asset companies. customers. payment system. payment system.

Banking 45

Banking Finance Technology 45

Reynolds Holding

APRIL 21, 2022

laws and regulations that may also impact their climate strategy ( e.g. , fair access, fair lending or insurance underwriting requirements) as they navigate the new climate disclosure requirements. For a summary of how the proposed rules would affect foreign private issuers, see our publication here. BACKGROUND.

Finance 45

Finance Banking Compliance Equity 45

Reynolds Holding

FEBRUARY 23, 2023

Thank you, Brian, for the kind introduction. It’s great to be here with all of you. Today, I will share a snapshot of our 2022 enforcement results as well as our policy approach to white-collar and corporate crime. I have the pleasure of serving as a Deputy Assistant Attorney General, or DAAG, in the Department of Justice’s Criminal Division.

Compliance 45

Compliance Marketability Start-ups Banking 45

Reynolds Holding

FEBRUARY 13, 2024

They begin with rules on Universal Proxy (11/17/21), implementation of the Holding Foreign Companies Accountable Act (12/2/21), and Proxy Advisors (7/13/22), and end with rules on Conflicts in Securitizations (11/27/23), Treasury Market Clearing (12/13/23), and SPACs (1/24/24).

Treasury 59

Treasury Corporate Finance Marketability Compliance 59

Reynolds Holding

OCTOBER 10, 2023

Although better than the proposed rule, [1] the final beneficial ownership reporting rule continues to rest on flawed economics. Accordingly, I cannot support it. The heart of the final rule is a shortening of the filing windows for Schedules 13D and G, which report an investor’s holding of large positions in a company’s shares.

Marketability 49

Marketability Equity Technology Finance 49

Reynolds Holding

JULY 27, 2022

I would like to address three topics: first, I will touch on three areas of particular interest to our Division; second, I’ll mention two specific developments confronting the investment management industry in the coming months; and, third, I’ll focus on one of our largest projects and a topic of recurring interest, money market funds. * * *.

Banking 45

Banking Marketability Finance Corporate Finance 45

Reynolds Holding

MAY 1, 2023

SRA’s Warning Notice Perhaps the starting point is the Solicitors Regulation Authority’s (the “SRA’s”) Warning Notice (originally published in 2018 and updated in 2020) regarding the use of NDAs. [5] The journalist’s actions reportedly breached the terms of an NDA that had been agreed between the parties. [3]

Compliance 49

Compliance Banking Marketability 49

Reynolds Holding

AUGUST 9, 2023

2 Comments on both proposals are due by November 30, 2023. 2 Comments on both proposals are due by November 30, 2023. 2 Comments on both proposals are due by November 30, 2023.

Banking 52

Banking Market Risk Marketability Finance 52