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SEC Adopts Amendments to Modernize Fund Shareholder Reports and Disclosures
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]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Adopts Amendments to Modernize Fund Shareholder Reports and Disclosures
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]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: November 18-24, 2022
24 Nov 2022, 9:00 pm
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: November 18-24, 2022
24 Nov 2022, 9:00 pm
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner
18 Nov 2022, 6:32 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Remarks by Commissioner Peirce before FINRA’s Certified Regulatory and Compliance Professional Dinner
18 Nov 2022, 6:32 am
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SEC Proposes Private Fund Reform to Protect Investors
9 Nov 2022, 9:03 pm by William Tunney
Commissioner Peirce questioned the SEC’s need to look out for both retail and accredited investors. [read post]
RegBlog - https://www.theregreview.org/
Could A "Red Wave" Wipe Out The SEC's Clawback Rules?
7 Nov 2022, 12:15 am
Peirce and Mark T. [read post]
California Corporate & Securities Law - https://www.calcorporatelaw.com/
Weekly Roundup: October 28-November 3, 2022
4 Nov 2022, 6:30 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Commission set to revamp open-end funds once again
3 Nov 2022, 6:31 am by Unknown
”Commissioner Hester Peirce voted against issuing the proposal and questioned its timing given that the Commission already has many open proposals. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC v. Ripple: Redefining the Regulation of Crypto Assets
1 Nov 2022, 8:38 am by Race to the Bottom
Nevertheless, complying with SEC regulations is difficult because, according to Commissioner Hester Peirce, the SEC has “dropped the ball” when it comes to regulating the industry. [read post]
The Race to the Bottom - https://www.theracetothebottom.org/rttb
Statement by Commissioner Peirce on Proposed Amendments Regarding Service Providers Oversight
31 Oct 2022, 6:31 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW
31 Oct 2022, 4:22 am
The Cyberfraud Prevention Fraud, The Impeded Whistleblowing, and The Dissenting SEC Commissioner (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6746/ns8-rogas-hansen-peirce/Today's blog is a grab bag of a hodge-podge of a mishmash. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Statement by Commissioner Peirce on Final Rules Regarding Clawbacks of Erroneously Awarded Compensation
30 Oct 2022, 6:31 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Statement by Commissioner Peirce on Final Rule Amendments Regarding Shareholder Reports
29 Oct 2022, 6:31 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Remarks by Commissioner Uyeda at the Georgetown Law Hotel and Lodging Summit
28 Oct 2022, 6:32 am
Posted by Mark T. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
SEC adopts rules on fund shareholder reports and fee information
27 Oct 2022, 5:39 am by Unknown
The amendments will not affect the availability of Rule 30e-3 for closed-end funds and management companies that offer variable annuity contracts.Commissioners Hester Peirce and Jaime Lizárraga also voted to approve the amendments. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Weekly Roundup: October 14-20, 2022
21 Oct 2022, 6:30 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Remarks by Commissioner Peirce before the University of California Irvine Audit Committee Summit
14 Oct 2022, 6:32 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Yours truly cited by SEC Commissioner Hester Peirce
13 Oct 2022, 5:07 pm by Steve Bainbridge
The paper Commissioner @HesterPeirce cited was Sarbanes-Oxley § 404 at Twenty (August 26, 2022). [read post]
ProfessorBainbridge.com - http://www.professorbainbridge.com/professorbainbridgecom/