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8 Oct 2020, 7:11 am
He encouraged public comment on the proposal, especially on whether the offering size should be capped.Commissioners Hester Peirce and Elad Roisman also voted in favor of issuing the proposal. [read post]
8 Oct 2020, 3:03 am
” In her statement in support of the proposal, Commissioner Hester M. [read post]
2 Oct 2020, 6:11 am
Securities and Exchange Commission, on Friday, September 25, 2020 Tags: Boards of Directors, Institutional Investors, Proxy voting, Rule 14a-8, SEC, SEC rulemaking, Securities regulation, Shareholder proposals, Shareholder voting Statement by Commissioner Peirce on Procedural Requirements and Resubmission Thresholds under Rule 14a-8 Posted by Hester Peirce, U.S. [read post]
29 Sep 2020, 6:43 am
For example, Commissioner Hester M. [read post]
25 Sep 2020, 6:32 am
Posted by Hester Peirce, U.S. [read post]
25 Sep 2020, 6:31 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Friday, September 18, 2020 Tags: Accredited investors, Capital formation, Capital markets, Institutional Investors, Regulation D, SEC, Securities regulation, Solicitation Remarks by Commissioner Peirce on The Role of Asset Management in ESG Investing Posted by Hester Peirce, U.S. [read post]
23 Sep 2020, 3:03 am
Here’s an excerpt from the SEC’s fact sheet about the amendments (and here are statements from SEC Chair Jay Clayton & Commissioner Hester Peirce): The amendments facilitate transparency of OTC issuer information by: – Requiring to be current and publicly available certain specified documents and information regarding OTC issuers that a broker-dealer or qualified IDQS must obtain and review for the broker-dealer to commence a quoted market in an OTC issuer’s… [read post]
18 Sep 2020, 6:13 am
Posted by Hester Peirce, U.S. [read post]
15 Sep 2020, 9:19 am
Intellectual Siren Song (Remarks at the 7th Annual Conference on Financial Market Regulation by SEC Commissioner Hester Peirce)'FinCEN' documents reportedly show banks moved illicit funds - BuzzFeed, ICIJ (Reuters Release)9Cir Affirms Dismissal of Class Action Against Credit Suisse SecuritiesChristopher Laver, Plaintiff/Appellant, v. [read post]
15 Sep 2020, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5442/securities-industry-commentator/Intellectual Siren Song (Remarks at the 7th Annual Conference on Financial Market Regulation by SEC Commissioner Hester Peirce)'FinCEN' documents reportedly show banks moved illicit funds - BuzzFeed, ICIJ (Reuters Release)9Cir Affirms Dismissal of Class Action Against Credit Suisse… [read post]
14 Sep 2020, 5:24 pm
Hester M. [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted… [read post]
11 Sep 2020, 9:26 am
Chicago Nursing Home Executives Charged With Operating Ponzi Scheme (DOJ Release)Indian National Admits to Participating in Telemarketing Scam to Defraud Americans (DOJ Release)Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors (SEC Release)Statement on SEC Settlement Charging Token Issuer with Violation of Registration Provisions of the Securities Act of 1933 by SEC Commissioner Hester PeirceSEC Obtains Judgments Against Two Individuals in… [read post]
8 Sep 2020, 11:30 am
This is my punishment" was "to turn him into a modern day Hester Prynne")…. [read post]
3 Sep 2020, 6:25 am
” Also voting against the proposal was Commissioner Hester Pierce. [read post]
1 Sep 2020, 3:35 pm
Arguments In Support of the Amendments Chairman Clayton and the two Republican members of the Commission (Hester Peirce and Elad Roisman) each issued statements in support of the amendments. [read post]
31 Aug 2020, 3:05 pm
SEC Commissioner Pierce: Companies add value to society by seeking to be profitable for their shareholders. [read post]
31 Aug 2020, 3:01 pm
Fascinating stuff. [read post]
31 Aug 2020, 6:29 am
D.SEC Commissioner Hester M. [read post]
30 Aug 2020, 3:45 pm
Sources: Amending the “Accredited Investor” Definition Release Nos. 33-10824; 34-89669SEC Modernizes the Accredited Investor DefinitionProposed Changes to Accredited Investor DefinitionStatement on Modernization of the Accredited Investor Definition – Chairman ClaytonStatement on Amending the “Accredited Investor” Definition – Commissioner Hester M. [read post]
