Reynolds Holding

NOVEMBER 28, 2022

Treasury, SEC, CFTC, and CFPB appear set on regulating the crypto trading system (traded coins and associated marketplaces, exchanges, brokerages, lending, staking, derivatives, intermediaries, and enablers) as part of the traditional financial services system. So why isn’t the crypto trading market finance?

Finance 145

Finance Banking Marketability Treasury 145

Reynolds Holding

SEPTEMBER 15, 2022

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. Particularly, there has been a significant increase of principal trading firms (PTFs) trading in this market.

Treasury 45

Treasury Marketability Banking 45

Reynolds Holding

JUNE 29, 2023

Operation of a trading platform. Further, MiCA will also regulate the offering, issuance and marketing of cryptoassets, and require the publication by the trading venue of a white paper, which provides information specified by regulation and is approved by the local regulator. Exchange for fiat, or other cryptoassets.

Marketability 45

Marketability Compliance 45

Reynolds Holding

JANUARY 30, 2024

I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), 2] In that same policy, the Commission articulated its belief “that a refusal to admit the allegations is equivalent to a denial, unless the defendant or respondent states that he neither admits nor denies the allegations.” [3] e), our so-called gag rule. [1]

Banking 45

Banking Start-ups Compliance 45

Brian DeChesare

NOVEMBER 9, 2022

As everyone debates whether sales & trading is “dying,” they often lose sight of sales & trading exit opportunities. But even if these rumors are exaggerated, you still probably want to know what happens if you join a sales or trading desk and decide to leave.

Banking 69

Banking Equity Start-ups Marketability 69

Reynolds Holding

MARCH 28, 2024

Securities and Exchange Commission and Commodity Futures Trading Commission programs authorized under Dodd-Frank as well as similar programs implemented by the Internal Revenue Service and the Financial Crimes Enforcement Network). allegations of False Claims Act violations).

Compliance 59

Compliance Technology Marketability 59

Reynolds Holding

JUNE 22, 2022

Undoubtedly, the greatest area of uncertainty has involved the Securities Exchange Commission (SEC) and its application of the so-called Howey test when determining whether a cryptocurrency or other digital asset is being offered as an investment contract for purposes of applying U.S. securities law. Registration of Digital Asset Exchanges.

Banking 45

Banking Treasury Finance Marketability 45

Reynolds Holding

MARCH 31, 2022

Last week, the Securities Exchange Commission (SEC) released its long-awaited proposed rule for “The Enhancement and Standardization of Climate-Related Disclosures for Investors.” Online trading platforms like e-Trade, Charles Schwab, or RobinHood could easily add climate ratings to the stock performance metrics they display to investors.

Marketability 72

Marketability Finance 72

Reynolds Holding

JUNE 23, 2022

Chair Gensler’s Regulatory Flexibility Agenda [1] for the Securities and Exchange Commission sets forth flawed goals and a flawed method for achieving them. The Commission plans to propose many new rules, contemplating further extensive changes within the next five months. [26] Conclusion.

Treasury 45

Treasury Marketability Compliance Finance 45

Reynolds Holding

AUGUST 14, 2022

Each bill would bring much needed clarity to the regulatory landscape in part by strengthening the role of the Commodity Futures Trading Commission instead of fully empowering the Securities and Exchange Commission to regulate the digital asset industry. Is It a Security? federal securities law.

Start-ups 49

Start-ups Marketability Business Enterprise 49

Reynolds Holding

MAY 3, 2023

iv] The release hints repeatedly that timely notification of a variety of new triggering events will allow the Commission and FSOC “to assess whether any regulatory action could mitigate the potential for contagion or harm to investors.” [v] All we can do is respond to discrete calls for relief from regulatory obligations.

Compliance 45

Compliance Marketability Equity 45

Reynolds Holding

SEPTEMBER 12, 2023

As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the SEC staff. The dedicated staff of this agency does extraordinary work with limited resources. I am proud of this agency. The core principles of U.S.

Banking 40

Banking Treasury Marketability Equity 40

Reynolds Holding

JULY 30, 2023

Its definition of “original information” includes information that originates from a whistleblower, but is either publicly reported in the news media or referred to the DOJ or FinCEN from various third parties, such as foreign law enforcement agencies, anti-corruption organizations, U.S. embassy personnel, or civil society.

Treasury 75

Treasury Compliance Banking 75

Reynolds Holding

MAY 23, 2023

As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. 15] In addition, working with the Commodity Futures Trading Commission, we proposed enhanced periodic reporting for large hedge funds. [16]

Banking 40

Banking Technology Marketability Capital Structure 40

Reynolds Holding

SEPTEMBER 26, 2022

On August 25, 2022, the Securities and Exchange Commission (SEC) published a draft Strategic Plan (the Plan) for fiscal years 2022–2026. Dual registration with the SEC and the Commodity Futures Trading Commission (CFTC) may also be appropriate depending on the intermediary’s offerings. Enforcement and Disclosures.

Technology 45

Technology Marketability Equity Compliance 45

Reynolds Holding

SEPTEMBER 9, 2022

The basic idea was that the public deserves disclosure and protections not only when a security is initially issued, but also on an ongoing basis when the security is traded in the secondary markets. As is customary, I’d like to note my views are my own, and I’m not speaking on behalf of the Commission or SEC staff. Crypto Tokens.

Marketability 49

Marketability Compliance Start-ups Banking 49

Reynolds Holding

APRIL 20, 2022

The Commodity Futures Trading Commission (CFTC) has classified Bitcoin and Ether – and by extension other cryptocurrencies that are similarly structured – as commodities (courts have also upheld this classification). The practical effect of this structure is that cryptocurrency exchanges in the U.S.

Marketability 83

Marketability Banking Finance Start-ups 83

Reynolds Holding

NOVEMBER 13, 2023

2021), available at [link] (“In the absence of Congressional action, the agencies recommend that the Council consider steps available to it to address the risks outlined in this report. Assessing Potential Risks The Analytic Framework retains the eight proposed “vulnerabilities that most commonly contribute” to financial stability risks. [24]

Treasury 40

Treasury Finance Marketability Equity 40

Reynolds Holding

AUGUST 24, 2022

In 2021 and 2022, as the market continued to focus increasingly on environmental, social, and governance (“ESG”) issues, government financial regulators across many independent agencies strongly indicated that increased enforcement relating to ESG is on the horizon, while private plaintiffs filed novel securities class actions based on ESG issues.

Banking 49

Banking Compliance Marketability Corporate Finance 49

Reynolds Holding

MAY 11, 2022

Swaps emerged in the 1980s to provide producers and merchants with a way to lock in the price of commodities, interest rates, and currency rates. When I first appeared before this group, as Chair of the Commodity Futures Trading Commission (CFTC), Washington was still developing the regulatory response to the 2008 financial crisis.

Marketability 45

Marketability Banking Compliance Treasury 45

Reynolds Holding

JANUARY 25, 2024

Unlike whistleblower programs run by agencies like the Securities and Exchange Commission, Commodity Futures Trading Commission and the Financial Crimes Enforcement Network of the Department of the Treasury, the Program does not offer financial incentives for reporting misconduct.

Treasury 45

Treasury Finance Marketability 45

Reynolds Holding

APRIL 21, 2022

On March 21, 2022, the Securities and Exchange Commission proposed, in a 510-page release , climate-related disclosure rules for public companies. 6] The Commodities Futures Trading Commission [7] also has warned that climate change threatens U.S. In the insurance sector, the U.S. regulations).

Finance 45

Finance Banking Compliance Equity 45

Reynolds Holding

JANUARY 10, 2024

Today [January 10], the Commission approved the listing and trading of a number of spot bitcoin exchange-traded product (ETP) shares. I have often said that the Commission acts within the law and how the courts interpret the law. 1] The court therefore vacated the Grayscale Order and remanded the matter to the Commission.

Treasury 45

Treasury Finance Marketability Compliance 45

Reynolds Holding

SEPTEMBER 1, 2022

The a2 Milk shareholder class action alleges the Company with breaches of the Financial Markets Conduct Act 2013 and Fair Trading Act 1986. On May 31, 2022, approximately 50 members of German law enforcement agencies raided the offices of DWS. It is publicly traded on multiple stock exchanges, including the LSE.

Treasury 45

Treasury Marketability Market Capitalization Compliance 45

Reynolds Holding

JUNE 16, 2022

Securities and Exchange Commission on June 16, 2022. The Working Group on Securities Disclosure Authority respectfully submits these comments on the Commission’s recent proposal related to mandated, standardized climate-related disclosures for investors. The full letter is availabl e here.

Corporate Finance 52

Corporate Finance Finance Compliance Marketability 52

Reynolds Holding

JUNE 26, 2022

4356, their Responsible Financial Innovation Act, to transfer most regulation of cryptoproducts to the Commodity Futures Trading Commission (CFTC}, essentially ousting the SEC, presumably perceived to be a more aggressive regulator, from oversight of cryptoproducts that were securities. On June 10, 2022, U.S.

Banking 72

Banking Compliance Technology Treasury 72

Reynolds Holding

AUGUST 9, 2023

The Capital Proposal would apply to any banking organization with $100 billion or more in assets, as well as others with significant trading activity, and would significantly increase the capital requirements for most institutions. 2 Comments on both proposals are due by November 30, 2023.

Banking 52

Banking Market Risk Marketability Finance 52

Value Scope

SEPTEMBER 24, 2020

At the time, more than $17 billion had been invested into sustainable-focused exchange-traded funds (ETFs) and open-end funds during 2019. According to the UN, they are “the blueprint to achieve a better and more sustainable future for all. In 2018, the number was about $5 billion. “The What if the 9.6%

Intangible Assets 130

Intangible Assets Alpha Beta Marketability 130