Reynolds Holding

MARCH 24, 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. Under the new rules, the stock exchanges adopted new listing standards related to clawbacks that became effective in December 2023.

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Reynolds Holding

MAY 18, 2022

I’m honored to appear before you for the second time as Chair of the Securities and Exchange Commission. These statutes created requirements and regulations around disclosure, registration, exchanges, and broker-dealers, and established the SEC to oversee the markets. It is good to be here alongside Federal Trade Commission Chair Khan.

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Musings on Markets

DECEMBER 21, 2022

In a world where specialization is the norm, this does put me at a bit of a disadvantage, since there are many who know a great deal more about almost any topic that I choose to talk about, but I do think that it gives me a big-picture perspective that helps me find answers.

Corporate Finance 89

Corporate Finance Finance Start-ups Marketability 89

Reynolds Holding

MAY 11, 2022

Congress provided this authority, under Exchange Act section 10B, in response to the lessons of the 2008 financial crisis. [9] First, in December, the Commission re-proposed new Exchange Act rule 9j-1 to prevent fraud, manipulation, and deception in connection with security-based swap transactions. Other Topics.

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Marketability Banking Compliance Treasury 45

Harvard Corporate Governance

NOVEMBER 21, 2022

Additionally, rising interest rates could impact a company through changes in financing availability, the cost of debt, and exchange rate fluctuations. [2]. 19 See the SEC’s press release, “ SEC Nearly Doubles Size of Enforcement’s Crypto Assets and Cyber Unit.” ” (go back). Public Companies.”

Technology 249

Technology Marketability Compliance Finance 249

Reynolds Holding

DECEMBER 20, 2022

SBF owned both FTX and Alameda Research, which his indictment repeatedly describes as his “proprietary crypto hedge fund.” Indeed, it went so far as to state that “unlike the Securities Exchange Act, Section 1343 applies extraterritorially.” [13] But that is a topic for a different column. CONCLUSION. Elsaca , 927 F.3d

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Banking Marketability 111

Reynolds Holding

JANUARY 22, 2024

3] As a result, issuers faced uncertainty in determining whether a sale of securities did not involve “any public offering” and in applying case law on the topic, including the Supreme Court’s decision in SEC v. Yet, apparently, this approach is not feasible when it comes to crypto and digital assets. Ralston Purina Co. [4]

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Start-ups Marketability Price to Earnings Finance 45

Reynolds Holding

JANUARY 25, 2023

Future market volatility driven by market or external events such as the pandemic, the evolution of markets without subsequent strengthening of agency authorities, and the rapid growth in crypto assets all represent evolutionary risks. Securities and Exchange Commission and is based on its full strategic plan, available here.

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Technology Marketability Data Analysis Equity 59

Reynolds Holding

FEBRUARY 23, 2023

Which brings me to my next topic: the Fraud Section’s enforcement results over the past year. With respect to the section’s enforcement efforts, in 2022, MIMF prosecutors, together with our partners, charged nine defendants and brought a Crypto Fraud Enforcement Action. Crypto markets can be volatile yet alluring to many.

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Compliance Marketability Start-ups Banking 45

Reynolds Holding

OCTOBER 5, 2022

SPAC and crypto-related filings continue to be a focus of plaintiffs’ attorneys, even as the nature of these suits continues to evolve. Following an enforcement action against Respondent that alleged she failed to comply with federal auditing standards, the ALJ determined Respondent had, indeed, violated the Exchange Act. 4th at 212.

Start-ups 72

Start-ups Marketability Equity Compliance 72

Reynolds Holding

MARCH 27, 2023

In notable contrast to prior years, however, the number of crypto unregistered securities cases increased considerably, from just one in 2021 to 16 in 2022. Filings By Industry Sector As shown in Figure 2 below, the distribution of non-merger objection and non-crypto unregistered securities filings in 2022 was largely consistent with 2021.

Technology 59

Technology Start-ups Compliance Finance 59

Reynolds Holding

DECEMBER 5, 2022

Given the challenging economic climate, boards should be mindful of possible risks relating to inflation and rising interest rates, availability and cost of financing, increases in operating costs and fluctuations in exchange rates, as applicable. In addition, the E.U.’s Engine No.

Technology 66

Technology Banking Compliance Finance 66

Reynolds Holding

FEBRUARY 1, 2023

House of Representatives to ban Chinese-owned social media app TikTok from operating in the United States and widespread attention focused on the crypto industry following the November 2022 implosion of cryptocurrency exchange FTX). Intercontinental Exchange Inc.’s s $13 billion acquisition of Black Knight, Inc.

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Finance Equity Technology Banking 45

Reynolds Holding

FEBRUARY 13, 2024

This total excludes rules of the stock exchanges, which number in the thousands each year, in all administrations. Those rules make changes that mostly reflect the ongoing business operations of the exchanges, which are for-profit entities, and do not have the kind of direct effects that ordinary SEC rules do. EPA in 2022. [4]

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Treasury Corporate Finance Marketability Compliance 59

Reynolds Holding

JUNE 26, 2022

Cryptomania had been succeeded by the great Crypto Crash. Crypto was further criticized in some forms for high volatility and Bitcoin miners’ mammoth energy consumption. Facing similar problems, China had banned all crypto currency transactions in part in response to Bitcoin’s massive energy consumption.

Banking 72

Banking Compliance Technology Treasury 72

Reynolds Holding

AUGUST 9, 2023

General market risk is the risk of loss that could result from broad market movements, such as changes in the general level of interest rates, credit spreads, equity prices, foreign exchange rates, or commodity prices. Operational Risk data eXchange taxonomies).

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Banking Market Risk Marketability Finance 52