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15 Jan 2021, 8:08 am
(Public Statement by SEC Commissioner Hester M. [read post]
15 Jan 2021, 8:08 am
GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq (BrokeAndBroker.com Blog)Allison Herren Lee Named Acting Chair of the SEC (SEC Release)Statement on Designation of Commissioner Lee as Acting Chairman by SEC Commissioners Hester M. [read post]
15 Jan 2021, 8:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5649/securities-industry-commentator/GUEST BLOG [In]Securities: A Worried Song By Aegis Frumento Esq (BrokeAndBroker.com Blog)Allison Herren Lee Named Acting Chair of the SEC (SEC Release)Statement on Designation of Commissioner Lee as Acting Chairman by SEC Commissioners Hester M. [read post]
29 Dec 2020, 3:03 am
Commissioners Hester Peirce, Allison Herren Lee and Caroline Crenshaw issued a statement congratulating Commissioner Roisman’s designation as Acting Chair. [read post]
17 Dec 2020, 6:00 am
By Anne Sherry, J.D.SEC Commissioner Hester Peirce dissented from the Commission’s approval of a FINRA rule filing allowing it to take steps to address the hiring of brokers with a history of misconduct. [read post]
25 Nov 2020, 3:07 am
Commissioners Hester Peirce & Elad Roisman issued a statement in support of the proposal. [read post]
20 Nov 2020, 6:00 am
Mangino, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, November 14, 2020 Tags: Boards of Directors, Conflicts of interest, Corporate fraud, Corwin, Delaware cases, Delaware law, Disclosure, Fiduciary duties, Liquidity, Management, Merger litigation, Mergers & acquisitions, Private equity, Securities litigation, Shareholder suits Statement of Commissioners Peirce and Roisman on Andeavor LLC Posted… [read post]
17 Nov 2020, 3:03 am
If that tradition is followed this time around, Commissioner Hester Peirce would be interim Chair following Jay’s departure and continue in that role for a while after President-elect Biden’s inauguration. [read post]
16 Nov 2020, 6:23 am
Nelson, J.D.SEC Commissioners Hester Peirce and Elad Roisman issued a public statement dissenting from the Commission’s imposition of a $20 million penalty on Andeavor LLC for failing to have adequate internal accounting controls that would reasonably assure compliance with the company’s share buyback policy. [read post]
14 Nov 2020, 7:28 am
Posted by Hester M. [read post]
10 Nov 2020, 7:19 am
Lee also has suggested how the SEC could pursue regulations with a greater mix of prescriptive and principles-based requirements, an issue she debated in an extended colloquy with Republican Commissioner Hester Peirce at the end of the Commission’s open meeting to adopt further revisions to Regulation S-K in August 2020.Former Commissioner Robert Jackson, Jr. could be another potential candidate. [read post]
9 Nov 2020, 12:22 pm
Speakers include former Attorney General Michael Mukasey, SEC Commissioner Hester Peirce, Undersecretary of the Treasury Brent McIntosh, Nadine Strossen, Elizabeth Wydra, Assistant EPA Administrator Susan Bodine, former White House Counsel Neil Eggleston, Deepak Gupta, Richard Epstein, Robert George, Cornel West, Sally Katzen, Ted Olson, and our own Randy Barnett and Eugene Volokh, among many others. [read post]
6 Nov 2020, 7:39 am
"Our regulations should not cling to the mails and paper as the default or preferred paradigm for communications," Clayton advised.Commissioner Hester Peirce also welcomed the recommendations for laying the foundation for a more flexible, technology-based regulatory structure, rather than doing so in an ad hoc manner through temporary exemptive relief. [read post]
3 Nov 2020, 2:44 am
– Increase the offering limits for Reg A, Regulation Crowdfunding, and Rule 504 offerings, and revise certain individual investment limits – Set clear and consistent rules governing certain offering communications, including permitting certain “test-the-waters” and “demo day” activities – Harmonize certain disclosure and eligibility requirements and bad actor disqualification provisions As has become the norm, the amendments were adopted by a 3-2 vote, with… [read post]
27 Oct 2020, 4:40 am
We would like to offer our condolences to the families of Leanna Hester and Blake Stanford at this time. [read post]
23 Oct 2020, 9:53 am
Stump also observed that risk-based margining for security futures is permitted in Europe and that rejecting it in the U.S. can put the country at a competitive disadvantage.SEC Commissioner Hester Peirce also supported the final rule, noting that despite the "long and tortured" history of single stock futures in U.S. markets, potential is there. [read post]
23 Oct 2020, 3:31 am
SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions (SEC Release)Statement Regarding Tradenet Capital Markets Ltd by SEC Commissioner Hester M. [read post]
16 Oct 2020, 11:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5495/securities-industry-commentator/SEC Issues Record $114 Million Whistleblower Award (SEC Release)When the Nail Fails – Remarks before the National Society of Compliance Professionals by SEC Commissioner Hester PeirceGoldman Sachs Charged in Foreign Bribery Case and Agrees to Pay Over $2.9 Billion (DOJ Release)SEC Charges Goldman Sachs… [read post]
16 Oct 2020, 4:19 am
Crenshaw also said that being at the Commission and in the military has helped her learn first-hand what soldiers as investors are thinking and what questions they have about investment products and disclosures.Regarding family life, Crenshaw said that she has a toddler son, and with daycare closed due to COVID-19, her confirmation hearing was particularly challenging but she praised the individuals around her, including those who share her commitment to public service.Building on Crenshaw’s… [read post]
15 Oct 2020, 12:00 am
Micah Hester, PhDSeeing the PatientMark Gilbert, PhD [read post]
