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5 Apr 2021, 10:28 am
Katie Fry Hester, D-Carroll and Howard announced Friday Days End Farm Horse Rescue Inc. was approved for $500,000 as part of a Legislative Bond Initiative. [read post]
19 Mar 2021, 9:37 am
By Lene Powell, J.D.Criticizing a "disproportionate focus on illicit uses" of cryptocurrency and digital assets, SEC Commissioner Hester Peirce drew attention to crypto’s ability to protect people from harm by family or repressive governments. [read post]
12 Mar 2021, 11:31 am
FINRA Charges Operations Professional $5,000 for Sushi (BrokeAndBroker.com Blog)Six Charged with Crimes Related to Virtual Currency Exchange Business (DOJ Release)Former Chief Investment Officer Admits Bank Fraud Relating To $91.5 Million Commercial Loan (DOJ Release)Former Bank Teller Sentenced to Fifteen Months in Jail for Stealing from Wells Fargo Bank Customers (DOJ Release)SEC Awards Approximately $1.5 Million to Whistleblower (SEC Release)Paper, Plastic, Peer-to-Peer / Remarks at the British… [read post]
12 Mar 2021, 11:31 am
The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)Singapore Resident Charged In Manhattan Federal Court With Fraudulent Pre-IPO Stock Scheme (DOJ Release)SEC Charges Texas Investment Adviser and Two Executives in Connection with $17 Million Energy Fund Fraud (SEC Release)Staff Statement on Investment Company Cross Trading (SEC Division of Investment Management Staff)Remarks at Investor Advisory Committee Meeting (SEC Commissioner Hester M. [read post]
12 Mar 2021, 5:59 am
A Survey of Sustainability Disclosures by Small and Mid-Cap Companies Posted by Granville Martin (Society for Corporate Governance), Maia Gez (White & Case LLP), and Dov Gottlieb (White & Case LLP), on Friday, March 5, 2021 Tags: Disclosure, Environmental disclosure, ESG, Human capital, Stakeholders, Surveys, Sustainability Statement by Commissioners Peirce and Roisman on the SEC’s Enhanced Climate Change Efforts Posted by Hester M. [read post]
10 Mar 2021, 4:35 pm
In recent weeks, Commissioner Hester Peirce of the Securities and Exchange Commission (“SEC”) gave two speeches highlighting the need for legal clarity in the FinTech space and for legacy financial firms to embrace innovation. [read post]
8 Mar 2021, 3:00 am
Commissioner Hester M. [read post]
5 Mar 2021, 12:30 pm
[Waters of the United States, stolen gift cards, and Hester Prynne.] [read post]
5 Mar 2021, 7:08 am
” A statement from Commissioners Hester M. [read post]
5 Mar 2021, 6:03 am
Posted by Hester M. [read post]
5 Mar 2021, 3:03 am
In an apparent effort to add context to these recent announcements, Commissioners Hester Peirce and Elad Roisman issued a statement saying time will tell what these recent announcements really mean because right now it’s not yet clear. [read post]
26 Feb 2021, 6:00 am
., on Wednesday, February 24, 2021 Tags: Australia, Brazil, Climate change, Environmental disclosure, ESG, EU, Europe, International governance, Joe Biden, New Zealand, Risk disclosure, Sustainability Atomic Trading Posted by Hester M. [read post]
25 Feb 2021, 12:17 pm
SEC Awards Over $500,000 to Two Whistleblowers (SEC Release)FINRA Censures and Fines Member for Supervisory IssuesIn the Matter of Louis Capital Markets, LP (n/k/a Louis Capital Markets, LLC), Respondent (FINRA AWC)Small World (Opening Remarks for the FinTech Panel at the Institute of International Bankers 2021 Annual Washington Conference by SEC Commissioner Hester M. [read post]
24 Feb 2021, 6:01 am
Posted by Hester M. [read post]
24 Feb 2021, 5:54 am
Nelson, J.D.SEC Commissioner Hester Peirce recently gave a speech in which she touted the benefits of technology and urged listeners to not be afraid of technology while acknowledging that some fintech ideas are not yet feasible, either because of regulatory hurdles or the lack of adequate disclosure. [read post]
16 Feb 2021, 3:16 am
Commissioners Hester Peirce and Elad Roisman followed with their own statement to object to the policy change. [read post]
12 Feb 2021, 11:24 am
., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
29 Jan 2021, 3:21 pm
On January 29, Acting SEC Chair Allison Lee and SEC Commissioners Hester Peirce, Elad Roisman, and Caroline Crenshaw released a statement regarding the recent market volatility. [read post]
24 Jan 2021, 2:29 pm
Current SEC Commissioner Hester Peirce, famously said, “we are seeing a similar scarlet letter phenomenon in today’s modern, but no less flawed world” but 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]
22 Jan 2021, 3:03 am
Commissioners Hester Peirce, Elad Roisman and Caroline Crenshaw issued a statement congratulating Commissioner Lee on her designation as Acting Chair. [read post]
