Search for: "Hester"
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30 Aug 2023, 10:00 pm
The SEC approved the Final Rules despite strong industry objection and dissents from Commissioners Hester Peirce and Mark Uyeda. [read post]
15 Sep 2020, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5442/securities-industry-commentator/Intellectual Siren Song (Remarks at the 7th Annual Conference on Financial Market Regulation by SEC Commissioner Hester Peirce)'FinCEN' documents reportedly show banks moved illicit funds - BuzzFeed, ICIJ (Reuters Release)9Cir Affirms Dismissal of Class Action Against Credit Suisse… [read post]
27 Feb 2020, 11:14 am
SEC Proposes Rule Changes to Harmonize, Simplify and Improve the Exempt Offering Framework / Proposed amendments would provide a more rational framework, eliminate complexity and increase access to capital while preserving and enhancing important investor protections (SEC Release)Harmonizing, Simplifying and Improving the Exempt Offering Framework by SEC Chair Jay Clayton Statement on Proposed Amendments for Facilitating Capital Formation and Expanding Investment Opportunities by Improving… [read post]
30 Aug 2023, 10:00 pm
The SEC approved the Final Rules despite strong industry objection and dissents from Commissioners Hester Peirce and Mark Uyeda. [read post]
9 Apr 2021, 6:00 am
First Trades, First Dollars, and the NYSE Celebrates Moments (BrokeAndBroker.com Blog)Former Nike Marketing Manager Pleads Guilty to Wire Fraud, Money Laundering, and Making False Statements (DOJ Release)Statement on the Staff ESG Risk Alert by SEC Commissioner Hester M. [read post]
30 Aug 2023, 10:00 pm
The SEC approved the Final Rules despite strong industry objection and dissents from Commissioners Hester Peirce and Mark Uyeda. [read post]
15 Jan 2021, 8:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5649/securities-industry-commentator/GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq (BrokeAndBroker.com Blog)Allison Herren Lee Named Acting Chair of the SEC (SEC Release)Statement on Designation of Commissioner Lee as Acting Chairman by SEC Commissioners Hester M. [read post]
27 Aug 2022, 9:19 am
Caretaker of Senior Couple Sentenced for Stealing Hundreds of Thousands from Elderly Couple’s Bank Accounts (DOJ Release)Latvian Individual Extradited for Securities Fraud and Wire Fraud in Cryptocurrency Scheme (DOJ Release)Gatekeepers Ordered to Pay Nearly $1 Million in Monetary Remedies for Microcap Shell Factory Fraud (SEC Release)SEC Amends Whistleblower Rules to Incentivize Whistleblower Tips (SEC Release)On the Consequences of an Inconsequential Rulemaking: Statement Regarding Amendments… [read post]
18 Mar 2022, 11:51 am
CrenshawWe are Not the Securities and Environment Commission - At Least Not Yet by SEC by Commissioner Hester M. [read post]
25 Feb 2021, 12:17 pm
SEC Awards Over $500,000 to Two Whistleblowers (SEC Release)FINRA Censures and Fines Member for Supervisory IssuesIn the Matter of Louis Capital Markets, LP (n/k/a Louis Capital Markets, LLC), Respondent (FINRA AWC)Small World (Opening Remarks for the FinTech Panel at the Institute of International Bankers 2021 Annual Washington Conference by SEC Commissioner Hester M. [read post]
9 Jul 2021, 12:50 pm
John, Indiana Man Ordered to Pay Over $5.3 Million In Restitution For Securities Fraud (DOJ Release)ICO "Listing" Website Charged With Unlawfully Touting Digital Asset Securities (SEC Release)In the Matter of Coinschedule (Statement by SEC Commissioner Hester M. [read post]
5 Oct 2018, 3:13 pm
In a lengthy address, she discussed "concerns that I have about government attempts to remake corporations for the benefit of so-called stakeholders. [read post]
20 Apr 2012, 7:05 am
Law Lessons from HESTER L. [read post]
23 Nov 2010, 5:00 am
Due to the large number of safety violations Hester, Inc had committed in the past, the government ordered the company to take all of its trucks off the highways until all defeciencies were corrected. [read post]
29 Feb 2012, 8:24 am
I feel like I’m living in the time of Hester Prynne and her Scarlet Letter in light of the ongoing and escalating attacks on women’s health, especially when it comes to anything concerning our ‘lady parts. [read post]
2 Jan 2022, 3:26 pm
Three in particular come to mind: Hester Prynne v. [read post]
18 Mar 2011, 9:29 am
The Chronicle of Higher Education's Gina Barreca speculates on how Teen Mom 3 would play out if its contestants included, say, Tess Durbeyfield, Hetty Sorel, and that little troublemaker Hester Prynne. [read post]
24 Dec 2022, 6:30 am
SUMMARY On November 2, 2022, the SEC voted 3 to 2 (Commissioners Hester Peirce and Mark Uyeda dissenting) to adopt amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds and certain other registered funds (“funds”) report about their proxy votes (together, the “final rules”).[1] In addition, the final rules will require disclosure on Form N-PX of how institutional investment managers (“managers”) voted on… [read post]
24 Dec 2022, 6:30 am
SUMMARY On November 2, 2022, the SEC voted 3 to 2 (Commissioners Hester Peirce and Mark Uyeda dissenting) to adopt amendments to Form N-PX to enhance the information mutual funds, exchange-traded funds and certain other registered funds (“funds”) report about their proxy votes (together, the “final rules”).[1] In addition, the final rules will require disclosure on Form N-PX of how institutional investment managers (“managers”) voted on… [read post]
28 Aug 2019, 12:26 pm
Securities and Exchange Commissioner Hester Peirce has some critical comments on the California legislation signed by outgoing Gov. [read post]
