"It wasn’t just Archegos and AIG, though. In 1998, Long-Term Capital Management failed, bringing with it a $100-billion balance sheet and more than $1 trillion ...
"Today’s proposal also includes a rule aimed at protecting the independence and objectivity of security-based swap entities’ chief compliance officers (CCOs) by prohibiting actions to ...
"The proposed rule would seek to safeguard the independence and objectivity of a security-based swap entity’s CCO by preventing the personnel of that entity from ...
"Proposed Rule 10B-1 likewise may serve to squelch legitimate market activity. It requires firms to report publicly large security-based swap positions, along with their positions ...
I also have concerns about proposed Rule 10B-1 regarding public large position reporting
"As you work on and advocate for policy to encourage divestment from carbon intensive activity, it is critical to consider the growing expansion of the ...
"The Agenda makes plenty of room for rulemakings to undo rulemakings that the Commission only recently completed"
"Analyzing a multi-hundred page rulemaking in the context of intricate markets and an already complicated set of securities and other relevant laws is not an ...
The SPAC target IPO is akin to a traditional IPO. Thus, investors deserve the protections they receive from traditional IPOs, with respect to information asymmetries, ...
"I also hear a troubling number of anecdotes, from my own parents and from other older adults, who have found themselves in the crosshairs of ...