Reynolds Holding

APRIL 23, 2023

In that role, he worked closely with President Franklin Roosevelt to establish the nation’s first federal securities laws. It also established this important agency I’m honored to chair, the Securities and Exchange Commission. Rayburn and Roosevelt helped birth this agency in the age of radio. 3] I am proud of this agency.

Treasury 45

Treasury Marketability Finance Technology 45

Reynolds Holding

MARCH 5, 2024

Securities and Exchange Commission (SEC) for operating as unregistered securities exchanges, broker-dealers, and clearing agencies. Much of the debate – whether in Congress, the courts, or academia – meanwhile focuses on plausible alternatives to federal securities law for regulating the offer and sale of cryptoassets.

Marketability 59

Marketability Finance Compliance Equity 59

ThomsonReuters

DECEMBER 6, 2023

The Employee Retention Credit (ERC) emerged as a lifeline for many companies during the COVID-19 pandemic, incentivizing them to retain their employees and navigate through the financial turmoil. “Tax preparation is kind of the Wild West,” Creech began. “Tax preparation is kind of the Wild West,” Creech began.

Start-ups 105

Start-ups 105

ThomsonReuters

AUGUST 5, 2021

OCR has released its Summer 2021 Cybersecurity Newsletter, emphasizing the importance of regulating access to PHI using the HIPAA security rule’s standards for information access management and access control. Here are key points from the newsletter for each standard: Information access management.

Compliance 52

Compliance 52

Reynolds Holding

APRIL 3, 2024

Nobody can challenge these diktats because they are not final agency action, but compliance is mandatory for an entity wishing to avoid SEC delays, denials, and enforcement and examination scrutiny. It went out with—among other provisions—an unworkable swing-pricing element and emerged with a mandatory liquidity fee. [12]

Start-ups 45

Start-ups Banking Marketability Compliance 45

Reynolds Holding

MAY 18, 2022

It is good to be here alongside Federal Trade Commission Chair Khan. Amongst them, in 1933 and 1934, Congress and FDR came together to craft the first two federal securities laws. What I couldn’t fully appreciate is the sheer magnitude of this agency’s work on a daily basis. And yet, as I will detail, our agency has shrunk.

Marketability 59

Marketability Finance Corporate Finance Technology 59

Reynolds Holding

JULY 26, 2023

8] The new rule, for example, requires disclosure of detailed information about issuers’ cyber risk management processes and governance and relevant personnel. [9] 16] The release dismisses other potential conflicts between the SEC’s new 8-K regime and other state and federal laws by assuming SEC rules take precedence.

Compliance 40

Compliance Corporate Finance Finance Marketability 40

Reynolds Holding

JUNE 27, 2023

government; Rhodium, which licenses its physical risk model to asset manager BlackRock; and Carbon Delta, whose “Climate VaR” model was bought by MSCI. 6] Indeed, this winter the Federal Reserve rolled out a pilot climate-scenario analysis examining hurricane risk on the east coast that asked banks an impossible science question. [7]

Banking 83

Banking Finance Equity Technology 83

Reynolds Holding

APRIL 5, 2023

For 90 years, the federal securities laws—and our work to oversee them—have played a crucial role in good times and in times of stress. We oversee broker-dealers, stock exchanges, clearinghouses, mutual funds, asset managers, and public company issuers, among other participants in our financial markets. I am proud of this agency.

Marketability 45

Marketability Technology Data Analysis Corporate Finance 45

Reynolds Holding

MARCH 24, 2024

He was on the side of the founding principles of the federal securities laws. 4] Second, given the imperfect alignment between the interests of management and shareholders, management may not be fully incentivized to give correct signals to shareholders about their companies. [5] Public company disclosure is a public good.

Marketability 45

Marketability Market Risk Compliance Start-ups 45

Reynolds Holding

MAY 23, 2023

Congress created the Federal Deposit Insurance Corporation (FDIC) during the Great Depression to stop the rolling banking panic by guaranteeing bank deposits. Bank managers seeking to add risk had many new tools to choose from. Depositors lost everything every time a bank failed. At the same time, the U.S.

Banking 52

Banking Equity Start-ups Finance 52

Reynolds Holding

NOVEMBER 28, 2022

Members of Congress and financial regulators from the Federal Reserve, U.S. Second, an effective non-financial regulatory regime should be established under new and existing state and federal laws to protect consumers from the much smaller but still meaningful risks that crypto trading will pose once that separation occurs.

Finance 145

Finance Banking Marketability Treasury 145

Reynolds Holding

SEPTEMBER 12, 2023

Protecting the Public for 90 Years For 90 years, the federal securities laws and the SEC’s work to oversee them have played a crucial role for the public both in good times and in times of stress. We engage with more than 40,000 registrants—asset managers, brokers, dealers, exchanges, fund complexes, public companies, and many more.

Banking 40

Banking Treasury Marketability Equity 40

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] 1] Securities and Exchange Commission (SEC), Agency Rule List (Spring 2022), Agency Rule List – Spring 2022 (reginfo.gov) [hereinafter Agenda]. [2]

Treasury 45

Treasury Marketability Compliance Finance 45

Reynolds Holding

NOVEMBER 14, 2023

The stand-alone enforcement actions spanned the securities industry, from billion-dollar frauds to emerging investor threats involving crypto asset securities and cybersecurity, and charged violations by diverse market participants, from public companies and investment firms to gatekeepers and social media influencers. “The Shaw & Co.,

Marketability 45

Marketability Finance Private Equity Firm Compliance 45

Reynolds Holding

MAY 15, 2024

Federal law requires that exchange-traded derivatives generally have to be cleared. Federal law also makes it illegal to execute many derivatives contracts except through a regulated exchange; this mandate applies to all futures, many options, and a subset of swaps that are subject to the clearing requirement. In the U.S., markets.

Banking 64

Banking Marketability Market Risk Finance 64

Reynolds Holding

MAY 23, 2023

I am pleased to welcome everyone to the Division of Investment Management’s inaugural Conference on Emerging Trends in Asset Management. Later this month marks 90 years since President Franklin Roosevelt signed the first of the federal securities laws, the Securities Act of 1933.

Banking 40

Banking Technology Marketability Capital Structure 40

Reynolds Holding

MAY 9, 2022

FOIA gives the public the right to access records from federal agencies. All 50 states have FOIA provisions that resemble the federal FOIA. Several interesting findings emerge: FOIA-eligible LPs are about 8.5 Smith, a professor at the University of California, Riverside’s Anderson Graduate School of Management.

Venture Capital Fund 59

Venture Capital Fund Private Equity Firm Finance Corporate Finance 59

Reynolds Holding

APRIL 18, 2024

history, and it’s principal architect was recently sentenced to 25 years in federal prison. [1] If it’s the latter, your actions may constitute the type of “AI-washing” that violates the federal securities laws. First, educate yourselves about emerging and heightened AI risk areas as they relate to your businesses. 3-21245 (Nov.

Compliance 45

Compliance Technology Start-ups Marketability 45

Appraiser Newsroom

JULY 9, 2023

Celebrating its 86th year, the Conference attracts thought leaders, practitioners, allied professionals, vendor partners, government agency personnel, and more from all parts of the world. Josh Schaeffer, Ph.D , is Managing Director at Equity Methods. In addition, Ms. Pratt and Roger J.

Intangible Assets 40

Intangible Assets Business Valuation Appraisal Finance 40

Reynolds Holding

APRIL 29, 2024

On April 4, 2024, the Federal Register published the U.S. Qualifies as an Education Facility The entity qualifies as any of the following types of education facilities: (i) A local educational agency, educational service agency, or state educational agency.

Compliance 45

Compliance Banking Technology Marketability 45

Reynolds Holding

JANUARY 25, 2023

Accountability and deterrence are core goals of the enforcement program and in seeking remedies, the agency considers whether that resolution sufficiently promotes both specific and general deterrence. A record 67 million U.S. families held direct and indirect stock holdings in 2019. [1]

Technology 59

Technology Marketability Data Analysis Equity 59

Cooley M&A

JANUARY 25, 2023

Biopharmaceutical company Chimerix agreed to sell its worldwide rights to brincidofovir, including TEMBEXA, to Emergent BioSolutions in a transaction intended to enhance Chimerix’s balance sheet while allowing Chimerix to participate in the longer-term economics of the drug through milestone payments and royalties.

Marketability 40

Marketability Finance Equity Debt Financing 40

Musings on Markets

FEBRUARY 27, 2023

Historically, this has been more an issue in emerging markets, where businesses borrow short term and rates are volatile, than in developed markets, where a combination of longer-term debt and more stable interest rates has insulated businesses from the worst of this phenomenon.

Equity 52

Equity EBITDA Start-ups Net Debt 52

Reynolds Holding

JULY 19, 2023

One bill would mandate that firms assess and disclose on an annual basis the financially related climate risks they face and how they are managing these risks. Perhaps we all can agree to the following proposition: It is now obvious that we must address the climate emergency as an existential priority.

Marketability 75

Marketability 75

ThomsonReuters

FEBRUARY 9, 2023

Executive Office of the President: Office of Management and Budget Statement of Administration Policy (Jan. According to the statement, the May 11 end date would align with previous commitments to provide at least 60 days’ notice prior to termination of the public health emergency.

Compliance 52

Compliance 52

ThomsonReuters

AUGUST 4, 2022

Based on recommendations published by the federal Health Resources and Services Administration (HRSA) (see our Checkpoint article ), plans generally must cover, without cost-sharing, at least one form of contraception in each category identified in the current FDA Birth Control Guide. Reasonable Medical Management.

52

52

Reynolds Holding

OCTOBER 24, 2023

First, it requires you to educate yourselves about the law and external developments relevant to your business, particularly emerging and heightened risk areas. In fact, the handbook did not even mention the applicable federal securities laws. 20] In the Matter of Two Point Capital Management, Inc., 3-20014 (Sept. 3-21249 (Dec.

Compliance 40

Compliance Accounting Firms Start-ups Marketability 40

Reynolds Holding

MARCH 6, 2024

Today’s rule is the culmination of efforts by various interests to hijack and use the federal securities laws for their climate-related goals. If left unchecked, we may see further misuse of the Commission’s rules for political and social issues and an erosion of the agency’s reputation as an independent financial regulator.

Compliance 53

Compliance Corporate Finance Marketability Finance 53

ThomsonReuters

MARCH 1, 2024

Tax and accounting professionals must pay close attention to these developments, as compliance and risk management are integral to our practices. Sensitive Data Protection : It highlights the need to guard against data breaches and cyberattacks, instructing agencies to bolster security and urging private companies to improve data protection.

Compliance 106

Compliance Technology 106

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

JULY 27, 2023

The concern is that without deliberate progress towards a formal governance role for these emerging technologies, AI implementation may soon overwhelm the company’s ability to effectively monitor its use in the organization. The Resistance Then there is the resistance to board oversight emerging from corporate leaders.

Technology 52

Technology Compliance 52

Reynolds Holding

JUNE 8, 2022

Securities and Exchange Commission, “Short Position and Short Activity Reporting by Institutional Investment Managers” (Feb. A broker-dealer’s duty of best execution to its customers predates the federal securities laws and is derived from an implied representation that a broker-dealer makes to its customers. 5] See U.S.

Marketability 45

Marketability Equity Technology Finance 45

Reynolds Holding

MARCH 27, 2024

The Federal Deposit Insurance Corporation (FDIC) released a Proposed Statement of Policy on Bank Merger Transactions (the Proposal) that outlines the FDIC’s views on its jurisdiction and expectations with respect to each statutory factor under the Bank Merger Act (BMA). The Federal Reserve has, notably, been silent.

Banking 45

Banking Marketability Specific Risk Finance 45

Audit Board

AUGUST 4, 2022

By taking an intergrated approach to ESG risk management, Energy and utilities organizations can respond by preparing to not only comply with future regulations — but leverage them as a means to attract new investors and partners. Risk Management In Changing Times. Why ESG Needs To Be a Top Priority for Energy and Utilities Companies

Compliance 52

Compliance Technology 52

Reynolds Holding

JANUARY 9, 2024

Collaborate With Management: The board’s relationship with management is central to its effectiveness. Boards should leverage management’s expertise to stay informed on emerging issues and find opportunities to share feedback and receive input both within and outside regularly scheduled board meetings.

Technology 49

Technology Marketability Equity 49

Reynolds Holding

AUGUST 7, 2022

Here are the key takeaways from the Basel Committee’s final Principles for the Effective Management and Supervision of Climate-Related Financial Risks (the “Basel Principles”). The principles affirm a tailored approach to climate risk management.

Banking 45

Banking Market Risk Marketability Technology 45