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5 Mar 2021, 6:03 am
Peirce and Elad L. [read post]
5 Mar 2021, 3:03 am
Commissioners Roisman and Peirce note that the Enforcement Division will continue to identify, investigate, and bring actions against those who violate SEC laws and rules but such actions would not be based on any new standard. [read post]
26 Feb 2021, 6:00 am
Peirce, U.S. [read post]
25 Feb 2021, 12:17 pm
Peirce)FINRA Censures and Fines Securities America Over Outsourced Onboarding (BrokeAndBroker.com Blog)The Saga of FINRA Versus Kimberly Springsteen-Abbott (BrokeAndBroker.com Blog)SEC... [read post]
24 Feb 2021, 6:01 am
Peirce, U.S. [read post]
24 Feb 2021, 5:54 am
GW later posted a video Q&A session with Peirce. [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
Peirce and Elad L. [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, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms pledge to… [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]
15 Jan 2021, 8:08 am
Peirce)Silicon Valley Streaming Service Executive Indicted in Alleged "Pump and Dump" Stock Fraud Scheme (DOJ Release)https://www.justice.gov/usao-ndil/pr/silicon-valley-streaming-service-executive-indicted... [read post]
15 Jan 2021, 8:08 am
Peirce, Elad L. [read post]
15 Jan 2021, 8:08 am
Peirce, Elad L. [read post]
29 Dec 2020, 9:09 am
” SEC Commissioners Lee, Crenshaw, and Peirce released a statement which reads: “We heartily congratulate Commissioner Roisman on his designation as Acting Chairman of the Securities and Exchange Commission and look forward to continuing our work together to further the agency’s vital mission. [read post]
29 Dec 2020, 3:03 am
Yesterday’s SEC statement follows news last week when Commissioner Peirce tweeted an early congratulations to Chair Roisman. [read post]
17 Dec 2020, 6:00 am
Peirce credited FINRA’s rule filing with remaining sensitive to due process concerns despite its focus on investor protection. [read post]
11 Dec 2020, 7:08 am
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment (BrokeAndBroker.com Blog)SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities (SEC Release)Ex-Skyworks Solutions Semiconductor Engineer Sentenced to 18 Months in Federal Prison for Committing Insider Trading (DOJ Release)Federal Court Orders Interdealer Broker to Pay $7 Million for Deceptive Trading Practices in the FX Options Markets / Former CEO and Desk Head Ordered to Pay… [read post]
11 Dec 2020, 7:08 am
On December 10, 2020, the SEC approved a proposed rule change submitted by FINRA. [read post]
