Search for: "Matter of Will of Hester"
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9 Aug 2021, 5:27 am
(BrokeAndBroker.com Blog)Four Individuals Charged with Long-Running Global Pump-and-Dump Scheme / Defendants allegedly generated at least tens of millions in illicit proceeds (DOJ Release)SEC Charges International Microcap Fraud Scheme Participants (SEC Release)SEC Charges Four in International Microcap Fraud Schemes (SEC Release)SEC Charges Poloniex for Operating Unregistered Digital Asset Exchange (SEC Release)In the Matter of Poloniex, LLC (Statement by SEC Commissioner Hester… [read post]
9 Aug 2021, 3:30 am
Furthermore, as this excerpt from Hester Peirce’s lengthy dissenting statement points out, she questions the relevancy of the disclosure called for by the new standard to investors: [T]his reasoning either begs the very question that needs to be asked—whether the information is relevant to investors in a way that matters under the Exchange Act—or suggests that an exchange may impose any obligation on issuers for which “commenters representing a broad array… [read post]
6 Aug 2021, 7:16 am
The claimant may then request that the matter be held in abeyance during the Interim Policy-Review Period.Roisman and Peirce criticism. [read post]
26 Jul 2021, 6:15 am
By Joanne Cursinella, J.D.Before a FINRA audience, Commissioner Hester Peirce contemplated the practical realities of securities law and the role it plays in our rapidly changing markets at the FINRA Certified Regulatory and Compliance Professional Program at Georgetown University. [read post]
13 Jul 2021, 5:54 am
**** SEC Matters SEC Revises Qualified Client Threshold. [read post]
9 Jul 2021, 12:50 pm
John, Indiana Man Ordered to Pay Over $5.3 Million In Restitution For Securities Fraud (DOJ Release)ICO "Listing" Website Charged With Unlawfully Touting Digital Asset Securities (SEC Release)In the Matter of Coinschedule (Statement by SEC Commissioner Hester M. [read post]
3 Jul 2021, 6:56 am
Posted by Hester M. [read post]
11 Jun 2021, 9:20 am
San Francisco-based Affirm said in May adoption by Shopify’s merchant base has gained momentum in recent months, with the number of sellers signing on having climbed to 12,500 in a matter of weeks. [read post]
10 Jun 2021, 4:56 am
Bart Hester (R-Cave Springs). [read post]
14 May 2021, 4:09 am
SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index (SEC Release)Statement on S&P Dow Jones Indices LLC by SEC Commissioner Hester M. [read post]
27 Apr 2021, 6:09 am
The picture the left is by Darren Hester and is licensed under the Creative Commons Attribution-Share Alike 2.5 Generic license. [read post]
21 Apr 2021, 3:46 am
SEC Commissioner Hester Peirce made a statement last week to caution against a move toward global sustainability reporting framework. [read post]
14 Apr 2021, 6:00 am
Posted by Hester M. [read post]
14 Apr 2021, 3:03 am
Commissioner Hester Peirce released a Public Statement about the ESG risk alert providing some added context. [read post]
8 Mar 2021, 3:00 am
Commissioner Hester M. [read post]
5 Mar 2021, 12:30 pm
[Waters of the United States, stolen gift cards, and Hester Prynne.] [read post]
5 Mar 2021, 7:08 am
” A statement from Commissioners Hester M. [read post]
5 Mar 2021, 6:03 am
Posted by Hester M. [read post]
5 Mar 2021, 3:03 am
In an apparent effort to add context to these recent announcements, Commissioners Hester Peirce and Elad Roisman issued a statement saying time will tell what these recent announcements really mean because right now it’s not yet clear. [read post]
25 Feb 2021, 12:17 pm
SEC Awards Over $500,000 to Two Whistleblowers (SEC Release)FINRA Censures and Fines Member for Supervisory IssuesIn the Matter of Louis Capital Markets, LP (n/k/a Louis Capital Markets, LLC), Respondent (FINRA AWC)Small World (Opening Remarks for the FinTech Panel at the Institute of International Bankers 2021 Annual Washington Conference by SEC Commissioner Hester M. [read post]
