Search for: "Hester"
Results 101 - 120
of 1,029
Sort by Relevance
|
Sort by Date
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]
15 Dec 2022, 6:21 pm
SEC Commissioner Hester Peirce opines that: I cannot support this proposal, which is unduly prescriptive and seems less concerned about whether customers actually get best execution than if brokers implement a checklist that the Commission itself is not confident will help brokers achieve even better—much less best—execution. [read post]
15 Dec 2022, 6:31 am
Posted by Hester M. [read post]
15 Dec 2022, 6:31 am
Posted by Hester M. [read post]
9 Dec 2022, 6:34 am
Posted by Hester M. [read post]
9 Dec 2022, 6:34 am
Posted by Hester M. [read post]
2 Dec 2022, 6:31 am
Among other things, the proposed amendments would have refined existing requirements for funds to disclose the acquired fund fees and expenses (“AFFE”) associated with investments in other funds by permitting open-end funds that invest 10% or less of their total assets in acquired funds to omit the AFFE line item in the fee table and instead disclose the amount of the fund’s AFFE in a footnote to the fee table and fee summary.[3] This change would have addressed, in part, concerns… [read post]
2 Dec 2022, 6:31 am
Among other things, the proposed amendments would have refined existing requirements for funds to disclose the acquired fund fees and expenses (“AFFE”) associated with investments in other funds by permitting open-end funds that invest 10% or less of their total assets in acquired funds to omit the AFFE line item in the fee table and instead disclose the amount of the fund’s AFFE in a footnote to the fee table and fee summary.[3] This change would have addressed, in part, concerns… [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
24 Nov 2022, 9:00 pm
Securities and Exchange Commission, on Friday, November 18, 2022 Tags: Asset management, Disclosure, ESG, Financial regulation, SEC enforcement, Stewardship Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner Posted by Hester M. [read post]
20 Nov 2022, 7:29 pm
” The Day was started by Grendolyn Ann Smith in memory of Rita Hester, a trans woman killed in 1998. [read post]
18 Nov 2022, 6:32 am
Posted by Hester M. [read post]
18 Nov 2022, 6:32 am
Posted by Hester M. [read post]
9 Nov 2022, 9:03 pm
SEC Commissioner Hester M. [read post]
8 Nov 2022, 9:05 pm
SEC Commissioner Hester Pierce expressed concerns that the proposed climate rule “may not comport with the First Amendment. [read post]
7 Nov 2022, 12:15 am
The two Republican members of the Commission, Hester M. [read post]
4 Nov 2022, 6:30 am
Securities and Exchange Commission, on Friday, October 28, 2022 Tags: climate disclosures, Disclosure, legal framework, Materiality, SEC, SEC enforcement Statement by Commissioner Peirce on Final Rule Amendments Regarding Shareholder Reports Posted by Hester M. [read post]
3 Nov 2022, 6:31 am
”Commissioner Hester Peirce voted against issuing the proposal and questioned its timing given that the Commission already has many open proposals. [read post]
1 Nov 2022, 8:38 am
Nevertheless, complying with SEC regulations is difficult because, according to Commissioner Hester Peirce, the SEC has “dropped the ball” when it comes to regulating the industry. [read post]
