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30 Jan 2020, 12:46 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5048/securities-industry-commentator/Running on Empty: A Proposal to Fill the Gap Between Regulation and Decentralization (Speech by SEC Commissioner Commissioner Hester M. [read post]
15 Apr 2022, 2:34 pm
FINRA Rights REIT Wrongs With Fine and Suspension (BrokeAndBroker.com Blog)SEC Obtains TRO and Asset Freeze against Alleged Perpetrators of nearly $450 Million Ponzi Scheme (SEC Release)Court Orders Five Defendants in International Ponzi Scheme to Pay Over $13.1 Million (SEC Release)SEC Charges Former CFO and Son with Insider Trading (SEC Release)SEC Charges Four Defendants in Microcap Fraud Scheme (SEC Release)Statement Regarding SPAC Matter by SEC Commissioner Hester M. [read post]
Arkansas Law Barring Cities From Expanding LGBT Protections Becomes Law Without Governor's Signature
24 Feb 2015, 4:10 am
Bart Hester, said: "To think we could have different civil rights laws in every city is not realistic and not conducive to a good business environment. [read post]
17 Sep 2018, 9:21 am
Motherhood and Humble Pie: Remarks before the Cato Institute’s FinTech Unbound Conference (Speech by SEC Commissioner Hester Peirce)https://www.sec.gov/news/speech/speech-peirce-091218Commissioner Peirce discusses her dissent from the SEC’s decision to reject a bitcoin-related exchange-traded product as announced in Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by… [read post]
8 Feb 2019, 4:21 am
Regulation: A View from Inside the Machine by SEC Commissioner Hester Peirce (Remarks at Protecting the Public While Fostering Innovation and Entrepreneurship: First Principles for Optimal Regulation / University of Missouri School of Law)https://www.sec.gov/news/speech/peirce-regulation-view-inside-machineIn the latest thought-piece from SEC Commissioner Peirce, we have some provocative musings about the often uneasy relationship between regulators and those they regulate. [read post]
12 Feb 2022, 7:37 am
Customer Lawsuit Puts Robinhood In The News Again (BrokeAndBroker.com Blog)SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations (SEC Release)BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product / Company also agrees to attempt to bring its business into compliance with the Investment Company Act of 1940 within 60 days (SEC Release) Statement on Settlement with BlockFi Lending LLC by SEC Commissioner Hester M. [read post]
25 Mar 2022, 12:16 pm
FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel (BrokeAndBroker.com Blog)SEC Charges Seven California Residents in Insider Trading Ring / Three tech company employees along with family and friends charged in $1 million scheme (SEC Release)CFTC Awards Approximately $625,000 to Four Whistleblowers (CFTC Release)SEC Proposes Rules to Include Certain Significant Market Participants as "Dealers" or "Government Securities Dealers" (SEC Release)Statement on Proposal to… [read post]
7 May 2019, 7:21 am
SEC Commissioner Hester M. [read post]
27 Sep 2021, 4:17 am
Commissioner Hester Peirce issued a statement on Friday supporting the Trading and Markets Rule 15c2-11 no-action letter, but disagreeing with the very short extension of the compliance date for fixed income securities. [read post]
24 Oct 2019, 6:07 am
., Commissioner The Honorable Allison Herren Lee, Commissioner The Honorable Hester M. [read post]
7 Nov 2022, 12:15 am
The two Republican members of the Commission, Hester M. [read post]
19 Jul 2012, 6:33 am
Editor’s Note: The following post comes to us from Janice Hester Amey, corporate governance portfolio manager at the California State Teachers’ Retirement System. [read post]
11 Apr 2016, 6:18 am
President Obama nominated Lisa Fairfax, a Democrat, and Hester Peirce, a Republican, to fill the vacancies. [read post]
28 Apr 2021, 4:00 am
How much life insurance is intended to secure the payment of child support in most Tennessee parenting plans? [read post]
31 Aug 2020, 3:01 pm
Fascinating stuff. [read post]
16 Dec 2022, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, December 16, 2022 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of December 9-15 2022 Remarks by Commissioner Peirce at the American Enterprise Institute Posted by Hester M. [read post]
16 Dec 2022, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, December 16, 2022 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of December 9-15 2022 Remarks by Commissioner Peirce at the American Enterprise Institute Posted by Hester M. [read post]
17 May 2019, 3:00 am
Reasonableness Pants Commissioner Hester M. [read post]
14 Dec 2007, 12:44 am
By TOM HESTER Jr.The Associated PressMonday, December 10, 2007; 5:09 PMTRENTON, N.J. -- The state Senate approved legislation Monday thatwould make New Jersey the first state to abolish the death penaltysince 1976, when the U.S. [read post]
17 Apr 2010, 8:32 am
Hester, unpublished opinion, App. [read post]
