Search for: "Matter of Will of Hester"
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18 Apr 2024, 3:00 am
” And that, Dunbar-Hester said, raises the question of whether USC faced a specific credible threat or was just trying to find a way to get around controversy. [read post]
3 Apr 2024, 9:03 pm
To make matters worse, OCA issued—orally at a conference of accountants—a multi-pronged framework for applying SAB 121 to broker-dealers. [read post]
31 Jan 2024, 9:12 am
“I agree with the petitioner that this issue warrants a spot on our rulemaking agenda,” commented SEC Commissioner Hester Peirce, in opposition to the SEC’s refusal to amend the rule. [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]
19 Dec 2023, 6:12 am
Commissioners Hester Peirce and Mark Uyeda disagreed with the decision to turn away the Coinbase petition. [read post]
27 Nov 2023, 9:01 pm
SEC commissioners Hester Peirce and Mark Uyeda dissented from the settled proceeding because they believe that the internal accounting controls provisions do not apply to these facts. [read post]
6 Nov 2023, 5:30 am
Based on similar reasoning, the GAO received a Congressional request to review SAB 121 in August 2022.As part of its review, the GAO reached out to the SEC to seek its reasoning on the matter. [read post]
24 Oct 2023, 9:01 pm
I’d like to start by returning to a theme that I’ve touched on before, and that is how public trust in our institutions is faltering.[1] No sector is immune from this trend. [read post]
10 Oct 2023, 9:01 pm
Although better than the proposed rule,[1] the final beneficial ownership reporting rule continues to rest on flawed economics. [read post]
3 Oct 2023, 9:01 pm
July 5, 2023, settled) In the Matter of Reed L. [read post]
6 Sep 2023, 9:01 pm
Although the amendments to the plan would require CAT LLC annually to propose a “reasonable” budget, neither the proposed amendment nor the Commission’s order explains how this provision may, as a practical matter, be enforced.[8] What would be required to find the budget unreasonable? [read post]
27 Jun 2023, 9:01 pm
Thank you, Christina [Maguire], for that introduction and congratulations on becoming President and CEO of the Society [for Corporate Governance] (the “Society”) this past January. [read post]
28 Mar 2023, 9:01 pm
In a statement, Commissioner Hester Peirce objected to the proposed amendments as overly prescriptive. [read post]
7 Feb 2023, 3:33 am
SEC Commissioner Hester Peirce dissented from both aspects of the order. [read post]
24 Jan 2023, 6:10 am
Additionally, presuming such a relationship did exist, there was no evidence of knowledge or discussion of illicit subject matter which would provide the grounds for Pettis’s disqualification. [read post]
19 Jan 2023, 8:30 am
This post summarizes the published criminal opinions from the North Carolina Court of Appeals released on December 29, 2022. [read post]
11 Jan 2023, 9:01 pm
ENDNOTES [1] In the Matter of Stephen J. [read post]
10 Jan 2023, 12:08 pm
I thus share SEC Commissioner's Hester Peirce and Mark Uyeda's concern that the McDonalds matter "creates a slippery slope that may expand Item 402’s disclosure requirements into unintended areas – a form of regulatory expansion through enforcement. [read post]
8 Jan 2023, 8:58 am
Easterbrook and McDonald's Corporation by SEC Commissioner Hester M. [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]
