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The Division of Examinations conducts the SEC's National Exam Program. The division's mission is to protect investors, ensure market integrity and support responsible capital formation through risk-focused strategies that: (1) improve compliance; (2) prevent fraud; (3) monitor risk; and (4) inform policy.
Gensler was born into a Jewish family [6] in Baltimore, Maryland, one of five children of Jane (née Tilles) and Sam Gensler. [7] Sam Gensler was a cigarette and pinball machine vendor to local bars, [8] and he provided Gensler with his first exposure to the real-world side of finance when Sam would take Gensler to the bars of Baltimore to count nickels from the vending machines.
In FY 2011, the Enforcement Division filed 735 actions, an 8.6% increase over FY 2010 and more than any other year in SEC history. It also obtained $2.8 billion in penalties and disgorgement. [ 23 ] More significantly, the filed actions involve many highly complex markets, products and transactions, as well as charges against a significant ...
The U.S. Securities and Exchange Commission is preparing to resolve a two-year probe into allegations of greenwashing by the German fund manager DWS, with a fine by the end of September, two ...
The president also designates one of the commissioners as chairman, the SEC's top executive. Service may continue past term expiration [1] up to eighteen additional months. [2] This page is sorted by president and date of appointment; a second list sorts the page by SEC member's employment with private firms.
Since entering office in April 2021, Gensler has battled with industry groups across Wall Street, pursuing an aggressive campaign of rule-making and enforcement actions that often put him at odds ...
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Henry T. C. Hu, a corporate and securities law professor at the University of Texas law school, stated, "What the law requires is so clear that I am genuinely surprised that anyone would do this" [1] Jacob S. Frenkel, a former senior counsel in the SEC's division of enforcement, commented in regards to the small size of the fine: "They are ...