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SEC Staff to Toughen Corporate Insider Securities Trading Pursuant to Rule 10b5-1 Regs

Tuesday, July 20, 2021 Last month, the U.S. Securities and Exchange Commission (“SEC”) released its 2021 regulatory agenda that included the affirmative defense provisions of Rule 10b5-1 among the areas in which the agency may take additional rulemaking action. 1 This release followed an announcement by SEC Chairman Gary Gensler (“Gensler”) on June 7, 2021, that he had directed SEC staff to consider both tougher restrictions on securities trading by corporate insiders pursuant to Rule 10b5-1 trading plans and increased transparency for such trading.  Gensler expressed his concern that abuse of Rule 10b5-1 plans has led to a gap in insider trading laws and undermines investor confidence in the markets.

Previewing Gary Gensler s SEC Confirmation Hearing - Finance and Banking

To print this article, all you need is to be registered or login on Mondaq.com. Tomorrow at 10:00 am, the Senate Banking Committee will meet to conduct a hearing on the nominations of Gary Gensler to be chairman of the Securities and Exchange Commission (SEC) and Rohit Chopra to be director of the Bureau of Consumer Financial Protection (CFPB). Both are strong advocates of the Biden administration s policy agenda and have longstanding relationships with progressive Democrats. The hearing is certain to underscore the political and philosophical divide between Democrats and Republicans, for example, over what role social issues and policies should have in SEC and CFPB

Climate Change Focus Of Tomorrow s FSOC Meeting; Top Biden Administration Policy - Finance and Banking

To print this article, all you need is to be registered or login on Mondaq.com. Tomorrow, Treasury Secretary Janet Yellen will lead a meeting of the Financial Stability Oversight Council (FSOC). The preliminary agenda for the open session includes climate change and its potential impacts on financial stability. Appearing before Congress last week, Secretary Yellen stressed the importance of FSOC and its unique role in coordinating responses to issues like climate change. She specifically noted that climate change is a top priority of the Biden [a]dministration and FSOC can play a role in arranging discussions among financial regulators all of whom have

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