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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
Peirce and Elad L. [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
The Peirce-Roisman statement comes nearly a month after the Commission issued its order against Andeavor.Inadequate accounting controls. [read post]
14 Nov 2020, 7:28 am
Peirce and Elad L. [read post]
10 Nov 2020, 7:19 am
That could open the door to a brief, but potentially consequential, chairwomanship by Peirce, who has advocated for more aggressive action to promote blockchain-related interests, such as cryptocurrency-based exchange-traded funds and to protect the early distribution of tokens from being deemed securities transactions. [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
Peirce also posited that firms should be able to tell new customers clearly and in advance that they are a "digital-only" firm without paper documentation. [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]
23 Oct 2020, 9:53 am
SEC Chairman Clayton and SEC Commissioners Roisman and Peirce also voted to approve the final rule, while Commissioners Lee and Crenshaw dissented. [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]
9 Oct 2020, 8:50 am
Andres Rengifo, Diba Rouzbahani and Jennifer Peirce (Rutgers, The State University of New Jersey - Rutgers University, Newark, affiliation not provided to SSRN and Independent) have posted an abstract of Court Interpreters and the Political Economy of Bail in Three... [read post]
8 Oct 2020, 7:11 am
Peirce praised the staff for providing clear guidelines in an area that heretofore has relied on ad hoc approach based on guideposts gleaned from no-action letters and enforcement actions. [read post]
8 Oct 2020, 3:03 am
Commissioner Peirce said the proposal provides a framework for finders and questioned whether the scope of the proposal should be expanded to secondary offerings. [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]
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]
