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Gensler cites risks where banks and non-banks meet
The SEC chair talks about the outlook for implementing the rest of his regulatory agenda.
SEC’s Gensler cautions against overblown claims about AI
The SEC chair warned companies against 'AI washing' when they talk to investors about their use of the technology.
Despite SEC’s novel alignment on bitcoin ETF, it’s business as usual in regulatory politics
'This vote is not going to usher in a new era of strange alliances on votes on rulemakings or other applications to list and trade products,' says a securities lawyer. But staving off potential court intervention may shape upcoming final rules.
Gensler says proposal on AI conflicts aligns with Reg BI
'We're not trying to change Reg BI or change the fiduciary guidance,' the SEC chair says at SIFMA's annual conference.
House grills Gensler over shutdown, CAT and climate rule
Members of the House Financial Services Committee spent hours criticizing or praising the SEC's work under Chair Gensler.
It’s time for financial advisors to help investors gain access to alts
The long-outdated accredited investor rule has become a symbolic roadblock between retail investors and institutional-quality investments.
How advice standards have converged 3 years into Reg BI
While the SEC is working to put teeth into Regulation Best Interest, questions remain about how it’s working in practice.
Gensler blasts hedge fund fees as SEC readies rules
The Securities and Exchange Commission plows ahead with plans to boost oversight of the private fund industry.
A legacy of wins built one vote at a time
The SEC chair says the views of Republican commissioners can influence rules, even if unanimous support can't be achieved.
Gary Gensler has his game face on
With cheerleaders on the left and critics on the right, the chair of the Securities and Exchange Commission stays focused on what matters.
Lawmakers press Gensler over climate, crypto and rulemaking pace
Republicans on the House Financial Services Committee questioned the SEC leader about the roughly 50 rules the agency has proposed over the past two years.
SEC proposes new conflicts-of-interest rule aimed at certain securitizations
SEC Chair Gary Gensler called the measure an 'unfinished step in Congress’s vision for financial reform' following the 2008 financial crisis.
Hey, can the SEC really do that?
It’s the central question for the GOP and industry lobbyists as Congress takes a larger role in regulating the regulator.
Gary Gensler’s SEC agenda faces steep GOP opposition
The GOP barely controls the House, but it's enough to allow the party to pressure the SEC chief to curb his agenda.
Omnibus includes index-linked annuities legislation, other stocking stuffers
Several policies that affect advisers — in addition to the SECURE 2.0 retirement-savings bill — catch ride on last vehicle moving through Congress this year.
Crypto space braces for double-edged sword of regulatory oversight in FTX’s wake
While some claim more regulatory clarity could have helped prevent an event like the FTX collapse, others argue new rules take time and might not be what investors are hoping for.
Gensler warns market players that SEC crackdown is just getting started
The Securities and Exchange Commission chairman told securities lawyers that the agency would pursue violations wherever and however they occur.
High stakes in midterm elections
There’s a lot more than control of the House and Senate on the ballot in November, especially for Gary Gensler and the SEC.
SEC’s Gensler says investors don’t distinguish between advisers, brokers
The agency's chair implies at an Investment Adviser Association conference that investors should receive best-interest advice regardless of which type of financial professional they work with.
Fast start on rules creates perception Gensler’s agenda eclipses predecessors’
The SEC chief wants to wring cost savings out of the middle of the financial markets, where intermediaries make money.
