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9 Mar 2019, 3:00 am
I am fascinated by the eyebrow-raising speech SEC Commissioner Hester Peirce delivered to the Council of Institutional Investors (CII) earlier this week. [read post]
8 Mar 2019, 5:52 am
Peirce, U.S. [read post]
8 Mar 2019, 3:02 am
The “Token Taxonomy Act” Last month, I blogged about Commissioner Peirce’s comments calling for a lighter touch when it comes to regulating “decentralized” tokens. [read post]
7 Mar 2019, 6:19 am
Peirce Peirce's remarks before the Council of Institutional Investors included both praise for the role institutional investors play in the market and criticism of some of CII's positions. [read post]
6 Mar 2019, 5:48 am
Peirce, U.S. [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]
20 Feb 2019, 10:13 am
SEC Commissioner Peirce, known in some circles as “Crypto Mom,” in recent remarks suggested that the agency is still at work at preparing further ICO guidance. [read post]
15 Feb 2019, 1:27 pm
In particular, Commissioner Peirce elaborated on the application of the Howey test to new technologies and products. [read post]
14 Feb 2019, 3:00 am
SEC’s Peirce Says “Lighten Up” On Howey For The Crypto The Howey test considers “investment contracts” to be securities if they involve an investment of money in a common enterprise with an expectation of profit to be derived “solely from the efforts of others. [read post]
12 Feb 2019, 6:05 am
Peirce reaffirmed remarks by Bill Hinman in a June 2018 speech, “Digital Asset Transactions: When Howey Met Gary (Plastic). [read post]
8 Feb 2019, 4:21 am
Regulation: A View from Inside the Machine by SEC Commissioner Hester Peirce (Remarks at Protecting the Public While Fostering Innovation and Entrepreneurship: First Principles for Optimal Regulation / University of Missouri School of Law)https://www.sec.gov/news/speech/peirce-regulation-view-inside-machineIn the latest thought-piece from SEC Commissioner Peirce, we have some provocative musings about the often uneasy relationship between regulators and those they… [read post]
1 Feb 2019, 10:51 am
(Pix © Larry Catá Backer; Tauluseinä Tavelväggen, Wall of Printings (1977); Nörrköping Art Museum Turku Findland))Every year for almost 25 years, the Corporate Practice Commentator (with great thanks to Robert Thompson (Georgetown)) announces the results of its annual poll to select the ten best corporate and securities articles. [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]
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]
9 Nov 2018, 5:31 am
Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals by SEC Commissioner Hester Peircehttps://www.sec.gov/news/speech/speech-peirce-103018In another thoughtful yet provocative speech, SEC Commissioner Peirce muses about the best way to calibrate enforcement in terms of encouraging diligent in-house compliance policies and practices. [read post]
31 Oct 2018, 7:30 am
AIG is the poster child for the financial crisis, Peirce said, but not for the often cited reasons. [read post]
19 Oct 2018, 6:08 am
Peirce, U.S. [read post]
18 Oct 2018, 7:57 am
Peirce and Roisman concurrence. [read post]
13 Oct 2018, 7:20 am
Peirce, U.S. [read post]
9 Oct 2018, 5:21 am
Somewhat softening this broadside, Commissioner Hester Peirce urged “humility” in the SEC’s response to cryptocurrencies and cautioned against regulatory overprotectiveness. [read post]
