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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
Peirce University of Texas at Dallas Institute for Excellence in Corporate GovernanceAug. 27, 2020Thank you Jessica [Magee]. [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]
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
According to Peirce, integrity was key to the capitalist society Shibusawa championed. [read post]
27 Aug 2020, 3:03 am
And Commissioner Hester Peirce tweeted about her statement that the rule didn’t go far enough. [read post]
23 Aug 2020, 4:23 pm
I wrote a blog post earlier this year, LEED can Help Mitigate Legal Risks in ESG Disclosures, that included the quote, SEC Commissioner Hester Peirce has publicly 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]
21 Aug 2020, 12:18 am
Edward Jones Wins TRO Against Former Employee in Solicitation and Trade Secrets Case (BrokeAndBroker.com Blog)SEC Proposes Data Security Enhancements to the CAT NMS Plan (SEC Release)Update on the Consolidated Audit Trail: Data Security and Implementation Progress (SEC Release)Statement on Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security (SEC Commissioner Peirce)Rep Fined and Suspended by FINRA for Alterations on… [read post]
20 Aug 2020, 3:00 am
Hester Peirce is Okay with “Crypto Mom” Moniker SEC Commissioner Hester Peirce was just reconfirmed by the Senate – along with new Commissioner Caroline Crenshaw. [read post]
17 Aug 2020, 9:09 am
Peirce were both unanimously confirmed by the U.S. [read post]
7 Aug 2020, 3:03 am
Late yesterday evening, the Senate confirmed the nominations of Hester Peirce and Caroline Crenshaw to serve as SEC Commissioners by a voice vote. [read post]
31 Jul 2020, 7:20 am
I first read Holmes after completing a dissertation on Charles Peirce, the founder of American pragmatism. [read post]
31 Jul 2020, 6:02 am
Peirce, U.S. [read post]
Statement by Commissioner Peirce at Open Meeting to Adopt Amendments to the Proxy Solicitation Rules
24 Jul 2020, 6:11 am
Peirce, U.S. [read post]
24 Jul 2020, 6:10 am
Peirce, U.S. [read post]
23 Jul 2020, 6:06 am
Peirce, U.S. [read post]
22 Jul 2020, 4:12 pm
Telegram chose to abandon its project and settle with the SEC, curbing potential innovation, Peirce explained. [read post]
20 Jul 2020, 2:04 am
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says (BrokeAndBroker.com Blog)Not Braking and Breaking (Speech by SEC Commissioner Hester Peirce)E-brokers TD Ameritrade, Interactive Brokers sustained record retail trading volumes in the second quarter (CNBC by Maggie Fitzgerald)After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award (Financial Planning by Andrew Welsch)CFTC Announces Whistleblower Awards Totaling… [read post]
