Search for: "Matter of Will of Hester"
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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]
16 Feb 2021, 3:16 am
The impact of this change as a practical matter is unclear. [read post]
12 Feb 2021, 11:24 am
FINRA Arbitrators Sanction Spoliation of Evidence by Industry Respondents But Voice Displeasure with Claimant's ProductionIn the Matter of the FINRA Arbitration Between Guillermo Lopez Perez, Claimant, v. [read post]
24 Jan 2021, 2:29 pm
Current SEC Commissioner Hester Peirce, famously said, “we are seeing a similar scarlet letter phenomenon in today’s modern, but no less flawed world” but it is not Hester Prynne’s “A” for adultery in Puritan Massachusetts Bay Colony in 1642, but rather ESG in America in 2020. [read post]
15 Jan 2021, 8:08 am
(Public Statement by SEC Commissioner Hester M. [read post]
17 Dec 2020, 6:00 am
By Anne Sherry, J.D.SEC Commissioner Hester Peirce dissented from the Commission’s approval of a FINRA rule filing allowing it to take steps to address the hiring of brokers with a history of misconduct. [read post]
20 Nov 2020, 6:00 am
Securities and Exchange Commission, on Wednesday, November 18, 2020 Tags: Asset management, Capital formation, Compliance and disclosure interpretation, COVID-19, Diversity, Engagement, Form CRS, Institutional Investors, Investor protection, Retail investors, SEC, Securities enforcement, Securities regulation Revealing ESG in Critical Audit Matters Posted by J. [read post]
17 Nov 2020, 3:03 am
The subscription also comes with “Some free consulting on any shareholder relations or shareholder servicing matter to ever cross your desk. [read post]
16 Nov 2020, 6:23 am
Peirce and Roisman explained that they disagreed with the majority’s application of Exchange Act Section 13(b)(2)(B) to conduct that is not more closely related to accounting matters. [read post]
14 Nov 2020, 7:28 am
Posted by Hester M. [read post]
10 Nov 2020, 7:19 am
Lee also has suggested how the SEC could pursue regulations with a greater mix of prescriptive and principles-based requirements, an issue she debated in an extended colloquy with Republican Commissioner Hester Peirce at the end of the Commission’s open meeting to adopt further revisions to Regulation S-K in August 2020.Former Commissioner Robert Jackson, Jr. could be another potential candidate. [read post]
23 Oct 2020, 3:31 am
SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions (SEC Release)Statement Regarding Tradenet Capital Markets Ltd by SEC Commissioner Hester M. [read post]
16 Oct 2020, 4:19 am
However, she advised that she supports litigating matters if the alternative is an inadequate settlement. [read post]
25 Sep 2020, 6:31 am
Smith, EY Center for Board Matters, on Tuesday, September 22, 2020 Tags: Board dynamics, Board evaluation, Board performance, Boards of Directors, Director qualifications A Brief Response Regarding Stakeholder Governance Posted by Peter A. [read post]
18 Sep 2020, 6:13 am
Posted by Hester Peirce, U.S. [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG… [read post]
23 Aug 2020, 4:23 pm
I wrote a blog post earlier this year, LEED can Help Mitigate Legal Risks in ESG Disclosures, that included the quote, SEC Commissioner Hester Peirce has publicly said, “we are seeing a similar scarlet letter phenomenon in today’s modern, but no less flawed world” but it is not Hester Prynne’s “A” for adultery in Puritan Massachusetts Bay Colony in 1642, but rather ESG in America in 2020. [read post]
30 Jul 2020, 2:40 pm
New leaders announced Friday include Teressa Raiford, executive director of Don’t Shoot Portland, Demetria Hester and Danialle James. [read post]
1 Jun 2020, 1:12 pm
Yes, it involves a reality television show "star" (David Hester), but that doesn't matter. [read post]
29 May 2020, 5:40 am
Securities and Exchange Commission, on Friday, May 22, 2020 Tags: COVID-19, Disclosure, Financial reporting, Mergers & acquisitions, Reporting regulation, SEC, SEC rulemaking, Securities regulation, Transparency Remarks by Commissioner Peirce at Meeting of the SEC Investor Advisory Committee Posted by Hester Peirce, U.S. [read post]
