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11 Dec 2021, 12:46 pm
Peirce)Trader Indicted for Commodities Insider Trading Scheme (DOJ Release)CFTC Charges Puerto Rico Resident and His Firm for Misappropriation of Nonpublic Information and Fictitious Trading (CFTC Release)... [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
Peirce, U.S. [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
According to Peirce, nothing has changed since the rule was adopted, and the SEC has not learned anything new. [read post]
18 Nov 2021, 6:02 am
Peirce, U.S. [read post]
18 Nov 2021, 3:30 am
The Commissioners adopted the rule at an open meeting by a rare 4-1 vote, with Commissioners Lee and Crenshaw issuing statements in full support of the rule, Commissioner Roisman supporting adoption but suggesting that the Commission consider in the future whether to impose additional eligibility criteria on dissidents launching campaigns and expressing reservations about the power that the rule could give to proxy advisors, and Commissioner Peirce dissenting. [read post]
18 Nov 2021, 3:15 am
Yesterday’s action was criticized by the US Chamber of Commerce, as well as by Commissioner Peirce and Commissioner Roisman. [read post]
12 Nov 2021, 3:30 am
Peirce of U.S. [read post]
9 Nov 2021, 3:50 am
Commissioners Peirce and Roisman, who had expressed concern with the firing of the PCAOB Board back in June, issued a statement expressing support for the new Board. [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
Peirce, U.S. [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
Peirce and Elad L. [read post]
4 Nov 2021, 3:00 am
Commissioners Peirce and Roisman issued this statement on SLB 14, which, to say the least, they find perplexing: The rationale for today’s action is a bit of a mystery. [read post]
1 Nov 2021, 6:29 am
Peirce, U.S. [read post]
22 Oct 2021, 6:20 am
Peirce and Elad L. [read post]
21 Oct 2021, 6:35 am
Commissioners Peirce and Roisman also noted that the Commission had recently adopted a regulation to address quoted spreads in the National Best Bid or Offer (NBBO) regarding best execution for retail investors.Commissioners Peirce and Roisman summarized their understanding of the GameStop report thus: “In the wake of an anomalous market event, it can be tempting to identify a convenient scapegoat and leverage the event to pursue regulatory actions without regard to the… [read post]
19 Oct 2021, 6:27 am
Peirce and Elad L. [read post]
19 Oct 2021, 3:45 am
Commissioners Peirce and Roisman issued a statement criticizing the Staff report, noting: In the wake of an anomalous market event, it can be tempting to identify a convenient scapegoat and leverage the event to pursue regulatory actions without regard to the factual record. [read post]
