Reynolds Holding

MAY 18, 2022

I’m honored to appear before you for the second time as Chair of the Securities and Exchange Commission. Amongst them, in 1933 and 1934, Congress and FDR came together to craft the first two federal securities laws. Amongst them, in 1933 and 1934, Congress and FDR came together to craft the first two federal securities laws.

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Marketability Finance Corporate Finance Technology 59

Reynolds Holding

MARCH 24, 2022

In Section 939A of the Dodd-Frank Act of 2010, Congress directed federal agencies, including the SEC, “to remove any reference to or requirement of reliance on credit ratings” from our rules and to substitute an appropriate standard for credit-worthiness. [1]. Rules 101 and 102 currently have an exception for investment-grade securities.

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Marketability 40

Reynolds Holding

SEPTEMBER 21, 2023

The Names Rule reflects a basic idea: A fund’s investment portfolio should match a fund’s advertised investment focus. In essence, if a fund’s name suggests an investment focus, the fund in turn needs to invest shareholders’ dollars in a manner consistent with that investment focus.

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Reynolds Holding

MARCH 6, 2024

Our federal securities laws lay out a basic bargain. Our agency, though, was set up to be merit neutral. 2] We did so in 1980 when the agency adopted Management’s Discussion and Analysis (MD&A) sections in Form 10-K. [3] The SEC has an important role overseeing the disclosures at the core of that basic bargain.

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Compliance Corporate Finance Finance Marketability 45

Benzinga

OCTOBER 6, 2022

06, 2022 (GLOBE NEWSWIRE) -- Bridger Aerospace Group Holdings, LLC ("Bridger" or the "Company"), a leading independent provider of aerial firefighting services, has appointed Eric Gerratt as Chief Financial Officer. The announcement comes as Bridger prepares for its planned merger with Jack Creek Investment Corp. BOZEMAN, Mont.,

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Reynolds Holding

MAY 17, 2022

Securities class actions (SCA) are an important governance mechanism in the U.S. securities market, but there is a significant debate about their costs and benefits to investors. On the one hand, SCA are more efficient and powerful than individual securities suits and, thus, can enhance investor protection.

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Net Present Value Marketability Finance 116

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 Agenda Devotes the Agency’s Limited Resources to Rulemaking Proposals Disconnected from Our Core Mission.

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Treasury Marketability Compliance Finance 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. securities markets regulation have contributed to America’s economic success and geopolitical standing around the globe. I am proud of this agency.

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Reynolds Holding

MARCH 2, 2023

I understand that you’re discussing three items: private markets, investment advisers, and open-end funds. Now, let me turn to your panel on the oversight of investment advisers. Investment advisers have 53 million separately managed accounts, of which 51 million are individual accounts. Now, to today’s agenda.

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Reynolds Holding

FEBRUARY 15, 2024

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. Good afternoon. Scarlett Johansson played a virtual assistant, Samantha, in the 2013 movie Her. Artificial intelligence, though, is much broader and isn’t new.

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Audit Board

APRIL 25, 2022

If you’ve been wondering where security practices and compliance requirements align and where they diverge, you’re not alone. Security and compliance have synergies, but they aren’t the same, and it can be challenging to tease them apart. What Is Security? Here are some common categories for security tools: .

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Compliance Technology 90

Reynolds Holding

OCTOBER 3, 2023

July 5, 2023, settled) The SEC settled claims with a Utah-based molecular diagnostic company, its CEO and its Head of Corporate Communications and Investor Relations (HCCIR) for issuing two allegedly misleading press releases in advance of a securities offering. These figures exclude follow-on actions, bars and suspensions.) Benson (A.P.

Banking 52

Banking Compliance Marketability Finance 52

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. 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.

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Reynolds Holding

OCTOBER 24, 2023

If the public doesn’t think the system is fair, at a minimum, they are not going to invest their hard-earned money. While we have not yet released our 2023 fiscal year-end numbers, I can give you a sneak preview: we had another incredibly productive year on behalf of the investing public. This decline in trust is bad for everyone.

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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. The SEC will continue to focus on investor education and outreach that addresses diverse and underserved communities as well as on emerging and popular investment topics.

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Technology Marketability Equity Compliance 45

Reynolds Holding

JUNE 9, 2022

As is customary, I’d like to note that my views are my own, and I’m not speaking on behalf of the Commission or Securities and Exchange Commission staff. Disclosures have been at the heart of our securities laws since we were founded 88 years ago this week. I would like to welcome the new members of this Committee.

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Reynolds Holding

SEPTEMBER 9, 2022

In the depths of the Great Depression, Congress and President Franklin Delano Roosevelt (known for a slightly more famous quotation about “fear”) enacted the first federal securities laws. The Securities Act of 1933 was about companies raising money from the public. FDR called this law the “Truth in Securities Act.”.

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Marketability Compliance Start-ups Banking 49

Reynolds Holding

MAY 25, 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’m not speaking on behalf of my fellow Commissioners or the SEC staff. Investment Company Act of 1940 There is a saying when you’re in the woods. As Jack Bogle aptly said: “Don’t look for the needle in the haystack.

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Banking Treasury Marketability Start-ups 40

Reynolds Holding

FEBRUARY 28, 2023

On August 17, 2021, the Securities and Exchange Commission (SEC) filed the first lawsuit charging insider trading in an economically related stock. If found guilty, the insider faces a civil penalty and officer and director bar. However, unlike a typical case of insider trading, the former employee did not trade shares of MDVN.

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Technology Marketability Equity 59

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. Treasury securities. One aspect of that role is our oversight of clearinghouses for Treasury securities. We are the issuer.

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Treasury Marketability Banking 45

Reynolds Holding

JULY 31, 2023

On July 27, 2023, the federal banking agencies released a lengthy proposal to revise the capital rules applicable to large banks and bank holding companies. The banking agencies do not anticipate making a final rule effective until at least July 2025, and the proposal suggests a three-year phase-in period after that for most provisions.

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Reynolds Holding

OCTOBER 25, 2023

The Federal Reserve OIG issued a report on SVB’s failure. Media reports have described it as nearly identical to the Barr Report. The report is more critical of the supervisory staff. It does not blame regulatory tailoring for reduced supervisory intensity, except when SVB had assets between $50-$100 billion.

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Reynolds Holding

FEBRUARY 8, 2024

4] First, the final rules will expand reporting requirements about a large hedge fund’s investment exposures. I am pleased to support the adoption because it will improve the quality of the information we receive, particularly from large hedge fund advisers. This will help the SEC and FSOC to better assess systemic risk and protect investors.

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ThomsonReuters

APRIL 18, 2023

The cash flow statement is divided into three core segments: cash from operating activities, cash from investing activities, and cash from financing activities. Cash from investing activities: Essentially, any item that is classified on the balance sheet as a long-term asset could fall under investing activity.

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Finance Start-ups Dividends Equity 59

Reynolds Holding

JUNE 29, 2023

Designating a money laundering reporting officer. The European Union and U.K. are establishing comprehensive regimes for the regulation of cryptoassets. The provisions governing stablecoins will apply earlier, starting June 30, 2024.) The EU Transfer of Funds regulation was also enacted at the same time as MiCA.

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Reynolds Holding

JULY 26, 2023

Although better than the proposal, this final cybersecurity disclosure rule continues to ignore both the limits to the SEC’s disclosure authority and the best interests of investors. Moreover, the Commission has failed to explain why we need this rule. Accordingly, I dissent. 3] We do not need additional regulations.

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Audit Board

MARCH 24, 2022

Assessing them is important to every company, as visibility into weak points in processes or systems allows businesses to make informed decisions about where to invest in near-term decision-making while also preparing for long-term success. Here are the top challenges to look for: 1: ESG Risks. 2: Supply Chain Issues. 2: Supply Chain Issues.

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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.

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Banking Treasury Finance Marketability 45

Reynolds Holding

MARCH 28, 2022

District Court in San Francisco denied a motion to dismiss charges filed by the Securities and Exchange Commission under an expansive new theory of insider trading liability. Responding to unsolicited interest in acquiring Medivation, the company hired investment bankers to explore options. The SEC’s “Shadow Trading” Claim.

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Audit Board

JULY 20, 2022

For example, in the world of ESG reporting, enforcement agencies are raiding the offices of Deutsche Bank or launching investigations into Goldman Sachs for “greenwashing” — false operational metrics related to environmental sustainability performance. trillion investing in digital transformations this year alone. Why is this?

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Compliance Start-ups Banking Marketability 59

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. Join us on-site in New Orleans or from the comfort of your home or office—the choice is yours! the BG legislation).

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Reynolds Holding

MAY 3, 2023

ii] The release, for example,highlights that certain disclosures are intended to facilitate the Commission’s policing of potentially conflicted activities, such as adviser-led secondary transactions, the administration of step-downs in fees following an investor election to terminate a fund’s investment period, and clawbacks.A

Compliance 45

Compliance Marketability Equity 45

Reynolds Holding

DECEMBER 12, 2023

While the SEC’s climate disclosure rules are pending, and will probably face litigation when final, regulations from other agencies and jurisdictions are likely to affect U.S. In the global effort to protect the earth’s climate, the pace of regulation is rivaled only by the speed of technological innovation.

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Start-ups Compliance Finance Marketability 72

Reynolds Holding

APRIL 12, 2022

The agency later adopted disclosure requirements related to Management’s Discussion and Analysis in Form 10-K. As is customary, I’d like to note that my views are my own, and I’m not speaking on behalf of the Commission or SEC staff. A Long Tradition. Let me put the proposal into the context of our long tradition of disclosures.

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Benzinga

APRIL 28, 2023

That message is simple: Mid Penn is safe, sound, strong and resilient and we are confident that our customers' deposits are secure with us. HARRISBURG, Pa., April 28, 2023 (GLOBE NEWSWIRE) -- Mid Penn Bancorp, Inc. million, or $0.71 per common share basic and diluted, respectively. "As Nothing new there," Mr. Ritrievi concluded.

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Farrel Fritz

JANUARY 9, 2023

Last fall, I wrote about a matrimonial-turned-business dispute simultaneously playing out in Delaware Chancery Court and Manhattan’s Matrimonial Division between reality television personality Julia Haart and her former paramour, billionaire Silvio Scaglia, over ownership of modeling agency Elite World Group, Inc.

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Banking Finance Marketability 52

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. Join us on-site in New Orleans or from the comfort of your home or office—the choice is yours! In addition, Ms.

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Intangible Assets Business Valuation Appraisal Finance 40