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Statement On Final Rules Regarding Beneficial Ownership, SEC Chair Gary Gensler, Oct 10, 2023

Statement On Final Rules Regarding Beneficial Ownership, SEC Chair Gary Gensler, Oct 10, 2023
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United statesMelissa roverts harkeLyndon ortonJessica wachterJulie marloweLaurita finchErik gerdingMike willisValian afsharVlad ivanovErin smithPam carmodyJonathan cowenAnne krauskopfAngela mokodeanElizabeth murphy

Statement On Rule 9j-1 And Rule 15fh-4(c), SEC Chair Gary Gensler, June 7, 2023

Today, the Commission is considering adopting two final rules related to the security-based swaps markets. I am pleased to support these rules because they will enhance the integrity of the security-based swaps markets.

United statesSean bennettCarol mcgeeRobert teplyRobert girouardJohn guidrozCarrie obrienRachel mckenzieAndrew schoefflerJessica wachterGregory smolarMalou huthHaoxiang zhuStephanie reinhartWill millerMeridith mitchell

Flexibility At The Expense Of Clarity: Statement On Adoption Of Exchange Act Rules 9j-1 And 15fh-4(c), SEC Commissioner Hester M Peirce June 7, 2023

Thank you, Mr. Chair. As we have just heard, today the Commission will vote on finalizing Rule 9j-1, which would prohibit fraud and manipulation involving purchases and sales of security-based swaps, and Rule 15fh-4(c), which would prohibit coercion, manipulation, or deception of a security-based swap entity’s chief compliance officer. Although I agree with the objectives of these rules—namely, to reduce the incidence of misconduct in the security-based swap markets—these final rules leave unaddressed concerns I had at the proposing stage about their breadth, and I accordingly cannot support them.

Carol mcgeePam carmodyInternational swapsDerivatives associationFunds associationNarrowly tailored credit event protocolManaged funds associationReference entity