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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
Peirce, U.S. [read post]
30 Sep 2021, 8:01 am
“At the risk of apostasy, I posit that proxy voting is not the most important activity in which a fund engages,” Peirce said. [read post]
30 Sep 2021, 6:12 am
Peirce, U.S. [read post]
28 Sep 2021, 6:29 am
Peirce, U.S. [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
SEC Commissioner Hester Peirce has publicly said, “we are seeing a similar scarlet letter phenomenon in today’s modern, but no less flawed world. [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]
20 Aug 2021, 7:10 am
Peirce also said she remains concerned that the SEC’s approach could stifle innovation. [read post]
10 Aug 2021, 9:12 am
In Peirce’s view, the proposal is not designed to achieve the purposes of the Exchange Act because it does not protect investors, harms market integrity, and is contrary to the public interest. [read post]
9 Aug 2021, 5:27 am
Peirce)SEC Charges Westchester Investment Adviser with Defrauding Members of His Religion (SEC Release)... [read post]
9 Aug 2021, 3:30 am
As usual, the SEC was divided, with Commissioner Peirce dissenting and Commissioner Roisman dissenting in part. [read post]
6 Aug 2021, 7:16 am
The claimant may then request that the matter be held in abeyance during the Interim Policy-Review Period.Roisman and Peirce criticism. [read post]
28 Jul 2021, 3:15 am
SEC Chair Gary Gensler made his Twitter debut earlier this week – joining Commissioners Peirce and Lee on one of the world’s best platforms for arguing with strangers. [read post]
26 Jul 2021, 6:15 am
" The SEC should engage in similar review, Peirce said.Compliance officers. [read post]
23 Jul 2021, 6:06 am
Peirce, U.S. [read post]
22 Jul 2021, 6:13 am
In contrast, CFTC Commissioner Brian Quintenz and SEC Commissioner Peirce believe that current regulations are enough.The Archegos collapse caused several banks severe losses when they were caught unaware by the amount of Archegos’ swap exposure and did not have risk management measures in place sufficient to respond to the crisis. [read post]
