Search for: "Hester v. Social Security, Commissioner of"
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16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, Insider trading, SEC, SEC enforcement, Securities Exchange Act of 1934 Statement by Commissioner Peirce on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements Posted by Hester M. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: 10b5-1, Corporate governance, Insider trading, SEC, SEC enforcement, Securities Exchange Act of 1934 Statement by Commissioner Peirce on Final Amendments to Rule 10b5-1 and Other Insider Trading Requirements 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]
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]
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]
28 Oct 2022, 6:32 am
Levinson in the context of a securities fraud case.[10] It is important to note the context of TSC Industries v. [read post]
2 Jul 2010, 9:02 am
Hester Jr. v. [read post]
16 Jul 2021, 6:19 am
In response to the regulatory agenda, the two Republican commissioners, Hester Peirce and Elad Roisman, issued a joint statement voicing concerns about efforts to undo certain recently adopted rules. [read post]
9 Jul 2021, 7:07 am
While Gensler said this will begin to set the PCAOB "on a path to better protect investors," Commissioners Hester Peirce and Elad Roisman called the decision "hasty and truncated. [read post]
27 Jun 2023, 9:01 pm
Congress has been very clear in the federal securities laws when it intends to preempt state law, such as in the National Securities Markets Improvement Act[44] or the Jumpstart Our Business Startups Act.[45] Indeed, such a broad claim of Commission authority might raise issues under the major questions doctrine discussed in West Virginia v. [read post]
13 Mar 2020, 6:31 am
Securities and Exchange Commission, on Saturday, March 7, 2020 Tags: Accredited investors, Capital formation, Equity offerings, Private firms, Regulation D, SEC, SEC rulemaking, Securities regulation, Solicitation Statement by Commissioner Peirce on Proposed Amendments for Facilitating Capital Formation and Expanding Investment Opportunities Posted by Hester M. [read post]
16 Apr 2021, 5:51 am
Llewellyn, Fenwick & West LLP, on Sunday, April 11, 2021 Tags: Board composition, Boards of Directors, California, Diversity, ESG, Human capital, Management, Tech companies Supreme Court to Weigh in on Presumption of Reliance in Securities Class Actions: Goldman Sachs v. [read post]
6 Sep 2023, 9:01 pm
The incentives aggravated by this funding plan make it even harder for real concerns about monetary, security, and privacy costs to be taken seriously.[3] The funding proposal we are considering today—the latest effort by the CAT LLC to fund past and future expenses—employs an apparently plausible approach to allocating CAT costs. [read post]
30 Jan 2024, 9:02 pm
I dissent from the Commission’s denial of a petition to amend Rule 202.5(e), our so-called gag rule.[1] This de facto rule follows from the Commission’s enforcement of its policy, adopted in 1972, that it will not “permit a defendant or respondent to consent to a judgment or order that imposes a sanction while denying the allegations in the complaint or order for proceedings. [read post]
11 Mar 2022, 1:05 pm
” However, SEC commissioner Hester Peirce issued a dissenting statement wondering whether the combined $100 million penalty was disproportionate, noting that “there is no allegation that BlockFi failed to pay its customers the money due them or failed to return the crypto lent to it. [read post]
13 Mar 2020, 3:00 am
Two commissioners also provided some colorful social media commentary on the vote. [read post]
15 Nov 2019, 6:17 am
Designing Proposals with your Unique Investors In Mind Posted by Amy Freedman, Michael Fein, and Ian Robertson, Kingsdale Advisor, on Friday, November 8, 2019 Tags: Board composition, Boards of Directors, Diversity, ESG, Institutional Investors, Proxy advisors, Shareholder voting A Guidebook to Boardroom Governance Issues Posted by Amy Simmerman and Katherine Henderson, Wilson Sonsini Goodrich & Rosati, on Friday, November 8, 2019 … [read post]
21 Apr 2021, 3:46 am
SEC Commissioner Hester Peirce made a statement last week to caution against a move toward global sustainability reporting framework. [read post]
23 Jul 2021, 6:06 am
Silk, Sabastian V. [read post]
13 Feb 2023, 7:28 am
According to Conwell, his first fund raised money from a diverse group of investors via Rule 506(c) of Regulation D and a social media campaign (Rule 506(c) allows for general solicitation in some instances). [read post]
