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14 Dec 2021, 6:14 am
Posted by Hester M. [read post]
11 Dec 2021, 12:46 pm
FINRA Arbitrators Award $1 In Response to $1 Million In Damages Sought (Sort of) (BrokeAndBroker.com Blog)Pueblo Cattle Investment Operator Sentenced to Federal Prison for Wire Fraud and Money Laundering (DOJ Release)Rat Farms and Rule Comments - Statement on Comment Period Lengths (Statement by SEC Commissioner Hester M. [read post]
9 Dec 2021, 7:38 am
" That's by Jere Hester, author of "Raising a Beatle Baby: How John, Paul, George and Ringo Helped Us Come Together as a Family" (NYT). [read post]
30 Nov 2021, 6:42 am
The move had been urged by Senators Elizabeth Warren and Bernie Sanders, although SEC Commissioners Hester Peirce and Elad Roisman, along with some Republican members of Congress, criticized the action.Budget. [read post]
19 Nov 2021, 5:57 am
, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities regulation, Shareholder voting Statement by Commissioner Peirce on Universal Proxy Posted by Hester M. [read post]
18 Nov 2021, 9:03 pm
Meanwhile, SEC Commissioner Hester Peirce cautioned that this universal proxy rule may “afford activists without a demonstrated commitment to the company an opportunity to meddle” in its affairs. [read post]
18 Nov 2021, 6:10 am
Commissioner Elad Roisman voted for the rules but expressed reservations, including that the rule should also have applied to funds, that those launching a proxy contest should have to meet certain eligibility criteria, and that the rule will put even more power in the hands of the proxy advisory businesses.Commissioner Hester Peirce dissented from the rule, saying it could afford activists without a demonstrated commitment to the company an opportunity to meddle in the company’s… [read post]
18 Nov 2021, 6:02 am
Posted by Hester M. [read post]
12 Nov 2021, 3:30 am
The disclosure in the Form 10 opens with the statement: American CryptoFed DAO, LLC (“CryptoFed”) agrees with commissioner Hester M. [read post]
7 Nov 2021, 1:09 pm
” The SEC’s two Republican commissioners, Hester Peirce and Elad Roisman, criticized the guidance as being the “flavor of the day regulatory approach” reflecting the politics of the then current Administration, and while that may be correct many business leaders have articulated the larger matter is environmentally conscious stockholders, often owning only a handful of shares, driving corporate action, often action not concerned about the financial interest of… [read post]
5 Nov 2021, 5:49 am
Song (NYU), on Thursday, November 4, 2021 Tags: Climate change, Disclosure, Environmental disclosure, ESG, Risk disclosure, SASB, SEC, Securities regulation, Sustainability Statement by Commissioners Peirce and Roisman on Shareholder Proposals Posted by Hester M. [read post]
4 Nov 2021, 7:38 am
The staff believes that SLB 14J and SLB14K expanded the concept of micromanagement beyond the Commission’s policy directives by creating the impression that any limit on company or board discretion constitutes micromanagement.Commissioners Hester Peirce and Elad Roisman, who objected to the approach outlined in SLB14L in a joint public statement, took specific issue with this claim. [read post]
4 Nov 2021, 6:08 am
Posted by Hester M. [read post]
4 Nov 2021, 2:00 am
University of Houston Law Center – Tracy Hester, Instructional Associate Professor of Law, presents today as part of the Internal Faculty Workshop Series. [read post]
4 Nov 2021, 2:00 am
University of Houston Law Center – Tracy Hester, Instructional Associate Professor of Law, presents today as part of the Internal Faculty Workshop Series. [read post]
2 Nov 2021, 2:05 am
Hester v. [read post]
1 Nov 2021, 6:29 am
Posted by Hester M. [read post]
24 Oct 2021, 6:17 am
“An attorney who is not conducting the examination may not have unresponsive testimony stricken” Hester v. [read post]
22 Oct 2021, 6:20 am
., on Tuesday, October 19, 2021 Tags: Asset management, BlackRock, Index funds, Institutional Investors, Proxy advisors, Proxy voting, Shareholder voting, Stewardship Statement by Commissioners Peirce and Roisman on Staff Report on Equity and Options Market Conditions in Early 2021 Posted by Hester M. [read post]
21 Oct 2021, 6:35 am
Making markets work for everyday investors gets to the heart of the SEC’s mission,” said Gensler.A joint public statement issued by Commissioners Hester Peirce and Elad Roisman questioned whether the GameStop report offered any conclusions upon which regulatory action could be based. [read post]
