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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]
22 Jun 2020, 5:59 am
SEC Chairman Jay Clayton and Commissioner Hester Peirce issued statements reaffirming the existing principles-based, materiality- focused approach the Commission adopted in its 2010 guidance, [2] and highlighted threshold issues that pose challenges to imposing a standardized ESG disclosure regime, including the complex landscape surrounding ESG disclosures and the forward-looking nature of climate-related ESG disclosure. [3] However, public companies are facing mounting pressure from… [read post]
22 Jun 2020, 3:03 am
If and when Jay does leave the SEC, many speculate that Hester Peirce, as the most senior remaining Republican Commissioner, would be appointed to the role of Chair for the time-being. [read post]
15 Jun 2020, 6:23 am
Peirce Mary Jo White, then-SEC Chairman Luis A. [read post]
14 Jun 2020, 1:44 pm
Pix credit HEREEthics has always been a term that is easy to pronounce, easier to segregate and narrow, and nearly impossible to produce easy answers. [read post]
8 Jun 2020, 10:13 am
Claims under Federal and State Racketeering Acts And Other Civil Remedies There are three types approaches to civil remedies a defendant might pursue to inhibit the flow of false claims in products cases. [read post]
29 May 2020, 5:40 am
Securities and Exchange Commission, on Friday, May 22, 2020 Tags: COVID-19, Disclosure, Financial reporting, Mergers & acquisitions, Reporting regulation, SEC, SEC rulemaking, Securities regulation, Transparency Remarks by Commissioner Peirce at Meeting of the SEC Investor Advisory Committee Posted by Hester Peirce, U.S. [read post]
28 May 2020, 6:37 am
Thank you to everyone participating, including Commissioners Peirce and Lee; our panelists; and the members of the Committee. [read post]
26 May 2020, 3:03 am
Another blog further summarizes committee member views and notes that, Commissioner Hester Peirce expressed her reservations about the recommendation – here’s her remarks in which she says today’s securities disclosure framework is “very good at handling all types of material information. [read post]
22 May 2020, 6:03 am
Posted by Hester Peirce, U.S. [read post]
21 May 2020, 5:00 pm
Other members felt that this undertaking would be unnecessary given that material disclosures are already mandated, a view echoed by Commissioner Hester Peirce. [read post]
15 May 2020, 4:55 am
SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations (SEC Release)Commissioner Peirce Sounds the Alarm About Feeding the SEC's CAT(BrokeAndBroker.com Blog)Head Of Investment Management Firm Pleads Guilty In Connection With $18 Million Pre-IPO Securities Fraud Scheme / Fred Elm, Who Fled to Canada in 2017 Prior to His Original Plea Date, Was Extradited Back to the U.S. [read post]
4 May 2020, 7:07 pm
At this meeting, Commissioner Hester Peirce remarked that capital-raising over the Internet—such as crowdfunding—“is just another way of practicing social distancing. [read post]
16 Apr 2020, 4:55 am
As mentioned in Commissioner Peirce’s speech, cryptocurrency and digital asset entrepreneurs are faced with a regulatory Catch 22. [read post]
2 Apr 2020, 4:25 pm
One example is, as Commissioner Peirce mentioned, the increasing acceptance of remote communication. [read post]
13 Mar 2020, 6:31 am
Peirce, U.S. [read post]
13 Mar 2020, 3:00 am
” For some reason, Hester Peirce tweeted a photo of a cherry cobbler with “404” baked into it (your guess is as good as mine, folks). [read post]
8 Mar 2020, 3:19 pm
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]
7 Mar 2020, 6:21 am
Peirce, U.S. [read post]
