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19 Oct 2021, 6:27 am
Posted by Hester M. [read post]
6 Oct 2021, 5:27 am
Other Commissioners, such as Commissioner Hester Peirce, have previously called for the SEC to approve virtual currency ETPs while also questioning whether these proposed ETPs have been treated differently by the Commission than older ETPs focused primarily on more traditional investments such as precious metals.Gensler has recently suggested that the Investment Company Act might be the proper legal regime for virtual currency-themed ETFs, a subset of ETPs. [read post]
1 Oct 2021, 5:54 am
McLeod, and Anitha Reddy, Wachtell, Lipton, Rosen & Katz, on Tuesday, September 28, 2021 Tags: Boards of Directors, Delaware cases, Delaware law, Derivative suits, Dual-class stock, Facebook, Securities litigation, Shareholder suits Remarks by Commissioner Peirce Before the Small Business Capital Formation Advisory Committee Posted by Hester M. [read post]
30 Sep 2021, 8:01 am
Commissioner Hester Peirce was the lone vote against the proposed amendments, stating that the say-on-pay proposal should be considered as a standalone rulemaking, rather than as part of the N-PX suite of proposed amendments. [read post]
30 Sep 2021, 6:12 am
Posted by Hester M. [read post]
28 Sep 2021, 6:29 am
Posted by Hester M. [read post]
27 Sep 2021, 4:17 am
Commissioner Hester Peirce issued a statement on Friday supporting the Trading and Markets Rule 15c2-11 no-action letter, but disagreeing with the very short extension of the compliance date for fixed income securities. [read post]
21 Sep 2021, 6:13 am
SEC Commissioner Hester Peirce has also taken a cautionary note about banning PFOF, instead voicing support for mandating better disclosure of the practice. [read post]
14 Sep 2021, 11:07 am
Commissioner Hester Peirce focused on the potential for technology advances to create investor opportunities. [read post]
14 Sep 2021, 3:00 am
This Cadwalader blog recaps the contrasting views that SEC Chair Gary Gensler and SEC Commissioner Hester Peirce expressed during the meeting on market regulation, technology and new financial products. [read post]
12 Sep 2021, 4:54 pm
” It is not Hester Prynne’s “A” for adultery in Puritan Massachusetts Bay Colony in 1642, but rather ESG in America in 2020. [read post]
24 Aug 2021, 6:12 am
Commissioners Hester Peirce and Elad Roisman were none too pleased with the SEC’s action here, questioning whether it might be part of a troubling pattern of unwinding actions taken by the last Administration. [read post]
22 Aug 2021, 6:22 am
Commissioner Hester Pierce’s statement, it which she contends that the SEC’s approval of the guidelines is “outside the scope of the [Exchange] Act and contrary to fundamental Constitutional principles,” can be found here. [read post]
20 Aug 2021, 7:10 am
Nelson, J.D.SEC Commissioner Hester Peirce and CFTC Commissioner Dan Berkovitz spoke about regulatory issues surrounding the emerging field of decentralized finance or DeFi at the virtual Parallel Summit All Things DeFi event, hosted by the Chamber of Digital Commerce. [read post]
16 Aug 2021, 7:33 am
Cambridge University Press forthcoming 2021) (Micah Hester and Toby Schonfeld eds.).Resolving Conflicts in Pediatric Palliative Care, in INTERDISCIPLINARY PEDIATRIC PALLIATIVE CARE (Oxford University Press forthcoming 2021) (with others). [read post]
10 Aug 2021, 9:12 am
The Commission voted 3-2 to approve the Nasdaq rule.SEC Chair Gary Gensler stated that the rules are consistent with the requirements of the Exchange Act, and reflect calls from investors for greater transparency about the people who lead public companies.Commissioners Alison Herren Lee and Caroline Crenshaw supported the rule, calling it "a positive first step for investors" while cautioning there is more work to be done in improving both diversity and transparency at public companies and… [read post]
9 Aug 2021, 5:27 am
(BrokeAndBroker.com Blog)Four Individuals Charged with Long-Running Global Pump-and-Dump Scheme / Defendants allegedly generated at least tens of millions in illicit proceeds (DOJ Release)SEC Charges International Microcap Fraud Scheme Participants (SEC Release)SEC Charges Four in International Microcap Fraud Schemes (SEC Release)SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange (SEC Release)In the Matter of Poloniex, LLC (Statement by SEC Commissioner Hester M. [read post]
9 Aug 2021, 3:30 am
Furthermore, as this excerpt from Hester Peirce’s lengthy dissenting statement points out, she questions the relevancy of the disclosure called for by the new standard to investors: [T]his reasoning either begs the very question that needs to be asked—whether the information is relevant to investors in a way that matters under the Exchange Act—or suggests that an exchange may impose any obligation on issuers for which “commenters representing a broad array of… [read post]
8 Aug 2021, 10:58 am
The two Republican Commissioners, Hester Pierce and Elad Roisman, also issued separate statements, reflecting their opposition to the approval of the guidelines. [read post]
6 Aug 2021, 7:16 am
The new procedures pertain to allowing awards for related actions and consideration of dollar amounts in making award determinations (Procedures for the Commission’s Use of Certain Authorities Under Rule 21f-3(B)(3) and Rule 21f-6 of the Securities Exchange Act of 1934, Release No. 34-92565, August 5, 2021).Noting that the rule amendments are less than a year old and subject to litigation, Commissioners Elad Roisman and Hester Peirce issued a joint statement criticizing the move. [read post]
