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18 Feb 2020, 1:01 pm
Commissioner Peirce is to be applauded for her creative, non-conventional approach to the issue of token registration at the SEC. [read post]
11 Feb 2020, 4:24 pm
” Peirce’s proposal would give these companies a three-year grace period to achieve such network decentralization. [read post]
7 Feb 2020, 6:00 am
Peirce, U.S. [read post]
1 Feb 2020, 8:22 am
Peirce, U.S. [read post]
31 Jan 2020, 3:00 am
Meanwhile, the ever-quotable Commissioner Hester Peirce weighed-in with a statement in support of the proposal, in which she warned that due in part to the efforts of “an elite crowd pledging loudly to spend virtuously other people’s money, the concept of materiality is at risk of degradation” through its expansion to ESG & sustainability disclosures. [read post]
30 Jan 2020, 12:46 am
Peirce)Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal (BrokeAndBroker.com Blog)ABN AMRO Clearing Chicago Charged With Improper Handling of ADRs (SEC Release)FINRA Imposes Censure and Fine on Two-Rep Firm for Supervisory Issues. [read post]
27 Dec 2019, 6:59 am
Peirce, U.S. [read post]
21 Dec 2019, 7:09 am
Peirce, U.S. [read post]
19 Dec 2019, 3:02 am
As this Cooley blog notes, the statements of dissent from Commissioners Rob Jackson and Allison Lee – compared to the statements of support from Commissioners Hester Peirce and Elad Roisman – highlight the differences in views that exist about the fundamental purposes of the securities laws. [read post]
18 Dec 2019, 12:19 pm
Commissioner Peirce found the current bright-line tests of income and net worth are too simplistic, keeping out qualified people and allowing in more that may not be qualified. [read post]
13 Dec 2019, 12:38 am
Peirce)https://www.sec.gov/news/speech/speech-peirce-2019-12-12#_ftnref2, Commissioner Peirce admonishes that:The temptation to collect more data only grows with the sophistication of our analytic... [read post]
27 Nov 2019, 5:47 am
On November 5, 2019, the SEC proposed amendments to regulate proxy voting advice (the “Proxy Release”) [1] and amendments to modernize the process for shareholder proposals under Exchange Act Rule 14a-8 (the “Shareholder Proposal Release”). [2] The SEC issued the releases in separate 3-2 votes, with Chairman Clayton and Republican Commissioners Peirce and Roisman forming the majority in both instances and Democratic Commissioners Jackson and Lee dissenting. [read post]
15 Nov 2019, 9:57 am
Here, the answer quotes a Congressman who accused the Commission of "regulation by enforcement" rather than by clear guidelines, an approach which was also been criticized by Commissioner Peirce. [read post]
15 Nov 2019, 6:17 am
Designing Proposals with your Unique Investors In Mind Posted by Amy Freedman, Michael Fein, and Ian Robertson, Kingsdale Advisor, on Friday, November 8, 2019 Tags: Board composition, Boards of Directors, Diversity, ESG, Institutional Investors, Proxy advisors, Shareholder voting A Guidebook to Boardroom Governance Issues Posted by Amy Simmerman and Katherine Henderson, Wilson Sonsini Goodrich & Rosati, on Friday, November 8, 2019 … [read post]
15 Nov 2019, 12:44 am
Peirce How can we make our enforcement program even better than it is? [read post]
13 Nov 2019, 3:27 am
And here’s a speech by SEC Commissioner Hester Peirce about them – this excerpt from the beginning is pretty funny: It is hard to believe that 2019 is almost over. [read post]
8 Nov 2019, 10:09 am
Posted by Hester Peirce, U.S. [read post]
8 Nov 2019, 5:55 am
Peirce, U.S. [read post]
7 Nov 2019, 6:20 am
Peirce, U.S. [read post]
6 Nov 2019, 6:25 am
Peirce also discussed the SEC’s enforcement program and offered four suggestions for how to improve it. [read post]
