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31 Mar 2022, 3:30 am
Commissioner Peirce once again dissented from the SEC’s decision, essentially arguing that the SEC came to bury SPACs, not to regulate them. [read post]
15 Jun 2018, 3:03 am
Monetary settlements declined to $65 million – the lowest semiannual total since at least 2009 According to this Bloomberg article, SEC Commissioner Hester Peirce might be emerging as an opposition force to many proposed enforcement actions, settlements and penalties. [read post]
17 Jan 2023, 3:00 am
Commissioners Peirce and Uyeda dissented from the SEC’s decision with respect to the company. [read post]
11 Apr 2016, 3:47 am
The concerns cast a cloud over the ability of both SEC nominees—Lisa Fairfax, a Democrat, and Hester Peirce, a Republican—to win Senate confirmation, according to Senate aides. [read post]
2 Dec 2022, 6:31 am
Peirce, in her statement supporting the rulemaking but noting that more can be done to improve mutual fund disclosure, emphasized that the final rules “jettison[ed]” the change to the AFFE disclosure, which she called a “small but important proposal” that could have facilitated investments in BDCs and the reintroduction of BDCs into indexes.[5] The amendments will be effective 60 days after the date of publication in the Federal Register. [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]
14 Jan 2019, 1:49 pm
Nonetheless, Shelia Peirce has stated that she would be willing to provide relevant documentation and testify at an administrative hearing to sanction physicians who are noncompliant. [read post]
15 Jan 2019, 2:41 pm
He was discharged by Securities America, Inc. on February 4, 2015, for alleged failure to follow firm policies, and also voluntarily resigned from Merrill Lynch, Peirce, Fenner & Smith Inc. after the firm alleged on May 19, 2014 that Destefano allegedly was involved in potentially mis-marking order tickets, FINRA reports. [read post]
21 Oct 2015, 4:12 am
The Republican nominee to replace Dan Gallagher is Hester Peirce, a researcher at George Mason’s Mercatus Center and a former Senate Banking Committee staffer (where she worked with current Commissioner Piwowar). [read post]
8 Mar 2024, 3:25 am
During the open meeting, Commissioner Peirce asked the SEC Staff whether the final rules preempt the requirements in California. [read post]
22 Aug 2023, 6:30 am
Peirce and Mark T. [read post]
2 Dec 2022, 6:31 am
Peirce, in her statement supporting the rulemaking but noting that more can be done to improve mutual fund disclosure, emphasized that the final rules “jettison[ed]” the change to the AFFE disclosure, which she called a “small but important proposal” that could have facilitated investments in BDCs and the reintroduction of BDCs into indexes.[5] The amendments will be effective 60 days after the date of publication in the Federal Register. [read post]
11 Apr 2016, 3:47 am
The concerns cast a cloud over the ability of both SEC nominees—Lisa Fairfax, a Democrat, and Hester Peirce, a Republican—to win Senate confirmation, according to Senate aides. [read post]
12 Nov 2021, 3:30 am
Peirce of U.S. [read post]
30 May 2012, 5:07 pm
We know from the Invictus Memo that the Plaintiffs are seeking a jurisdiction that is “flexible” on veil-piercing, including what they call the “rare” case of “reverse veil-peircing”, holding the subsidiary liable for the parent’s judgment debt. [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]
22 Feb 2019, 3:12 am
Meanwhile, the debate about whether the SEC should communicate its views with Commission-level guidance – not Staff-level guidance – continues with this recent speech from SEC Commissioner Hester Peirce (and some people even want less Commission-level guidance; remember when former Commissioner Piwowar suggested shorter adopting releases). [read post]
26 Jun 2022, 6:26 am
Each proposal was approved by the SEC in a 3-1 vote along party lines, with Commissioner Peirce dissenting. [read post]
2 Jul 2018, 7:41 am
Peirce Section 922 of Dodd-Frank: Whistleblower Protection The Limit of Whistleblowers [read post]
20 May 2016, 3:28 am
SEC Commissioners: Two Nominees Passed By Committee (But Still Might Not Be Confirmed) Yesterday, as noted in WSJ article, the Senate Banking Committee approved of the two SEC Commissioner nominees – Lisa Fairfax and Hester Peirce – by a voice vote about six weeks after their hearing was suddenly curtailed, but there still could be trouble in obtaining confirmation on the Senate floor, according to the article… – Broc Romanek [read post]
