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23 May 2024, 3:00 am
Commissioners Peirce and Uyeda issued a joint statement calling the penalty “disproportionately large” given that the ICE subsidiaries ultimately determined the incident was de minimis. [read post]
17 May 2019, 3:00 am
Peirce, U.S. [read post]
23 Feb 2014, 1:14 pm
Professor Stephen M. [read post]
31 Aug 2020, 3:05 pm
SEC Commissioner Pierce: Companies add value to society by seeking to be profitable for their shareholders. [read post]
16 Apr 2018, 5:00 am
Piwowar and Peirce argue that sufficient time has passed to warrant a consideration of the reason for the lack of Tier 2 activity since the adoption of the relevant rules. [read post]
23 Dec 2021, 9:59 am
”Like Peirce, Roisman also had mixed feelings about the proposal. [read post]
25 Apr 2022, 9:01 pm
” Commissioner Peirce’s Dissent. [read post]
24 Mar 2014, 9:05 pm
[Hester Peirce, Ian Robinson, Thomas Stratmann, Mercatus] “How the Feds Can Take Even Legally Earned Bitcoins” [Peter Coy, Business Week] “No Shame Dept.: Lawyers Sue Over Practically Every Merger, Again” [Daniel Fisher] Brewster Kahle on Know Your Customer: “‘Bank Secrecy Act’ I suggest is a misnomer– it is more accurately the ‘Bank Surveillance Act’” [Kahle.org, earlier here, here, etc.] [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]
20 Jul 2020, 2:04 am
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says (BrokeAndBroker.com Blog)Not Braking and Breaking (Speech by SEC Commissioner Hester Peirce)E-brokers TD Ameritrade, Interactive Brokers sustained record retail trading volumes in the second quarter (CNBC by Maggie Fitzgerald)After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award (Financial Planning by Andrew Welsch)CFTC Announces Whistleblower Awards Totaling… [read post]
17 Sep 2022, 9:15 am
Department of Housing and Urban Development Assistant Inspector General Convicted of Falsifying Financial Disclosure Forms (DOJ Release)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)SEC Charges Investment Adviser with Violating the Proxy Voting Rule (SEC Release)Statement Regarding In the Matter of Toews Corporation by SEC Commissioner Hester Peirce and Commissioner Mark T. [read post]
10 May 2019, 5:08 am
Peirce )Contract All... [read post]
12 Feb 2021, 11:24 am
Peirce and Elad L. [read post]
9 Apr 2021, 6:00 am
Peirce)Associated Person Cites Favoritism and Retaliation in FINRA Arbitration... [read post]
8 Aug 2022, 4:02 am
Peirce... [read post]
15 Sep 2020, 9:19 am
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 SecuritiesChristopher Laver, Plaintiff/Appellant, v. [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted… [read post]
22 Jan 2021, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms pledge to… [read post]
12 Mar 2021, 11:31 am
Peirce)The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)... [read post]
30 Jan 2020, 12:46 am
Peirce)Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal (BrokeAndBroker.com Blog)ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs (SEC Release)FINRA Imposes Censure and Fine on Two-Rep Firm for Supervisory Issues. [read post]
