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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]
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 Nov 2015, 9:48 am
Johansen had initially ruled against married women April Hoagland and Beckie Peirce on Tuesday, writing in his order, "[t]he Court orders the Division to place the child with a duly married, heterosexual foster-adoptive couple within one week," citing a "belief that research has shown that children are more emotionally and mentally stable... [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]
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]
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
Peirce, Elad L. [read post]
11 Dec 2020, 7:08 am
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment (BrokeAndBroker.com Blog)SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities (SEC Release)Ex-Skyworks Solutions Semiconductor Engineer Sentenced to 18 Months in Federal Prison for Committing Insider Trading (DOJ Release)Federal Court Orders Interdealer Broker to Pay $7 Million for Deceptive Trading Practices in the FX Options Markets / Former CEO and Desk Head Ordered to Pay… [read post]
27 Aug 2022, 9:19 am
Peirce (SEC Release)Statement on the Final Rules Related to the Whistl... [read post]
25 Feb 2021, 12:17 pm
Peirce)FINRA Censures and Fines Securities America Over Outsourced Onboarding (BrokeAndBroker.com Blog)The Saga of FINRA Versus Kimberly Springsteen-Abbott (BrokeAndBroker.com Blog)SEC... [read post]
9 Jul 2021, 12:50 pm
Peirce and SEC Commissioner Elad L. [read post]
15 Nov 2023, 3:15 am
This isn’t the first time the SEC has interpreted this statutory provision to cover non-accounting related controls, and it isn’t the first time that commissioners Peirce & Uyeda issued a dissenting statement on the SEC’s use of the statute in this manner. [read post]
29 May 2020, 5:40 am
Securities and Exchange Commission, on Friday, May 22, 2020 Tags: COVID-19, Disclosure, Financial reporting, Mergers & acquisitions, Reporting regulation, SEC, SEC rulemaking, Securities regulation, Transparency Remarks by Commissioner Peirce at Meeting of the SEC Investor Advisory Committee Posted by Hester Peirce, U.S. [read post]
15 Oct 2023, 9:01 pm
In 2010, Congress directed the Commission to prescribe rules providing for the public disclosure of aggregate short sale position data on at least a monthly basis.[1] The final rule that we are considering today, however, goes well beyond what Congress requires. [read post]
10 Mar 2022, 10:37 am
The proposal was approved during an open meeting by a 3-1 vote with Commissioner Peirce dissenting. [read post]
14 Mar 2018, 6:04 am
I want to extent a special welcome to their first Investor Advisory Committee meeting to Commissioner Robert Jackson and Commissioner Hester Peirce. [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]
15 Apr 2016, 7:34 am
Chuck Schumer and allies are holding up two presidential nominations to the Securities and Exchange Commission, those of Democrat Lisa Fairfax and Republican Hester Peirce, demanding that the nominees commit to supporting a scheme to force shareholder-held companies to disclose their political involvements, the better for adversaries to pressure them or retaliate. [read post]
