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Peirce: new private fund rules unnecessarily meddle in a functioning marketplace
28 Aug 2023, 5:01 am by Unknown
Finally, Peirce raises a litany of outstanding questions—some concrete and some rhetorical—about the rulemaking. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
An encounter with Jan M. Broekman, "Knowledge in Change: The Semiotics of Cognition and Conversation" (Springer Nature, 2023): Part 7 -- Chapter 6 ("The Non-Naïve-Natural")
27 Aug 2023, 7:19 am
   To my great delight, I was asked to review Jan Broekman's brilliant new work, Knowledge in Change: The Semiotics of Cognition and Conversation (Springer Nature, 2023). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
SEC tightens broker-dealer exemption from FINRA membership
24 Aug 2023, 5:47 am by Unknown
Commissioners Peirce and Uyeda both dissented, with both noting that there was no showing that imposing FINRA membership would be an advantage over the way things are done now, or in another alternative and less-burdensome way. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
The SEC’s Money Market Fund Reforms
22 Aug 2023, 6:30 am
Peirce and Mark T. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
The SEC’s Money Market Fund Reforms
22 Aug 2023, 6:30 am
Peirce and Mark T. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Peirce, Uyeda dissent says undertakings imposed on transfer agent equal new disclosure requirement
21 Aug 2023, 3:39 am by Unknown
Commissioners Peirce and Uyeda dissented, stating that the Commission "once again uses an enforcement action as a substitute for notice and comment rulemaking. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
An encounter with Jan M. Broekman, "Knowledge in Change: The Semiotics of Cognition and Conversation" (Springer Nature, 2023): Part 5 -- Chapter 4 "Flow and Fistness"
12 Aug 2023, 1:47 pm
   To my great delight, I was asked to review Jan Broekman's brilliant new work, Knowledge in Change: The Semiotics of Cognition and Conversation (Springer Nature, 2023). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
Sullivan & Cromwell Discusses SEC Amendments to Rules Governing Money Market Funds
6 Aug 2023, 9:01 pm by renholding
On July 12, 2023, the Securities and Exchange Commission (the “SEC”) voted 3 to 2 (Commissioners Peirce and Uyeda dissenting) to adopt certain amendments to rules and forms under the Investment Company Act of 1940 (the “Investment Company Act”) intended to improve the resilience and transparency of money market funds (“MMFs”). [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
An encounter with Jan M. Broekman, "Knowledge in Change: The Semiotics of Cognition and Conversation" (Springer Nature, 2023): Part 3 -- Chapter 2 "Fluidity and Flow
2 Aug 2023, 6:57 pm
  To my great delight, I was asked to review Jan Broekman's brilliant new work, Knowledge in Change: The Semiotics of Cognition and Conversation (Springer Nature, 2023). [read post]
Law at the End of the Day - https://lcbackerblog.blogspot.com/
Employment Law in an ESG World: The Activision Blizzard Story
2 Aug 2023, 11:37 am by Krista McIntyre and Jenny Palmer
[3] https://www.sec.gov/news/statement/peirce-statement-activision-blizzard-020323. [read post]
Stoel Rives World of Employment - http://www.stoelrivesworldofemployment.com/
Weekly Roundup: July 21-27, 2023
28 Jul 2023, 6:30 am
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Weekly Roundup: July 21-27, 2023
28 Jul 2023, 6:30 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC proposes rules on predictive analytics, internet advisers
27 Jul 2023, 9:11 am by Unknown
Peirce asked 10 questions about costs, compliance period, and other areas. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Statement by Commissioner Peirce on Public Company Cybersecurity Disclosures
27 Jul 2023, 6:31 am
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Statement by Commissioner Peirce on Public Company Cybersecurity Disclosures
27 Jul 2023, 6:31 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC Commissioner Peirce Dissents from Rules on Cybersecurity Disclosure
26 Jul 2023, 9:01 pm by renholding
Thank you, Chair Gensler. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
On SEC’s Open Meeting Agenda Next Wednesday: Cybersecurity Disclosure!
21 Jul 2023, 3:30 am by Meredith Ervine
While this proposal may not have received as many comments as the seemingly record-breaking climate proposal, commenters — and Commissioner Peirce — voiced several concerns about certain aspects of the cybersecurity proposal that I’m sure the Corp Fin Staff has been spending this time carefully considering. [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
SEC proposes to enhance broker-dealer account calculations and deposits
13 Jul 2023, 5:22 am by Unknown
Peirce also asked about time allowed for compliance and why the SEC was not reopening comment on a Treasury clearing proposal.Commissioner Mark Uyeda said the compiled data provided a “valuable starting point for the comment process” particularly relating to the $250 million threshold.This is Release No. 34-97877. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Commissioner Speaks on Shareholder Proposals, Proxy Statements, and Rule 14a-8
27 Jun 2023, 9:01 pm by renholding
Thank you, Christina [Maguire], for that introduction and congratulations on becoming President and CEO of the Society [for Corporate Governance] (the “Society”) this past January. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
SEC adopts new rules on security-based-swap fraud and preventing interference with CCOs
12 Jun 2023, 4:50 am by Unknown
Commissioner Peirce said that the final rule did not address any of the concerns she raised about the proposed version. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/