Search for: "David Peirce" Results 1 - 20 of 101
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Broker Investigation: Customer Complaints Against RBC Capital Broker David Peirce
26 Aug 2015, 7:56 am by Adam Weinstein
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Peirce (Peirce) has been the subject of at least four customer complaints. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Bicyclists and Pedestrians: "Purposefully Cowardly"
14 Mar 2008, 2:06 am
Neal Peirce has some answers. [read post]
Oregon Legal Research - http://oregonlegalresearch.blogspot.com/
Right choice-wrong choice: House FSC eyes Dodd-Frank corrections version 2.0
27 Apr 2017, 8:22 am by John Jascob
David Scott (D-Ga) recalled 41 Dodd-Frank Act hearings, but wondered if today’s hearing would be the only one on CHOICE Act version 2.0. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Weekly Roundup: April 1-7, 2022
8 Apr 2022, 5:50 am
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Weekly Roundup: April 1-7, 2022
8 Apr 2022, 5:50 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: December 9-15, 2022
16 Dec 2022, 6:30 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: December 9-15, 2022
16 Dec 2022, 6:30 am
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
SPACs: More on That Acceleration Request. . .
21 Apr 2022, 3:00 am by John Jenkins
Earlier this week, I blogged about Commissioner Peirce’s statement criticizing the SEC’s failure to act on a SPAC’s acceleration request for its Form S-4 registration statement. [read post]
TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/
Weekly Roundup: April 28-May 4, 2023
5 May 2023, 6:30 am
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Weekly Roundup: May 5-11, 2023
12 May 2023, 6:30 am
Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Weekly Roundup: May 5-11, 2023
12 May 2023, 6:30 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: April 28-May 4, 2023
5 May 2023, 6:30 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Debevoise & Plimpton Discusses SEC Enforcement Action Highlighting Whistleblower-Related Rules
25 Apr 2022, 9:01 pm by Kara Brockmeyer, Arian June, Julie Riewe, Jonathan Tuttle and Stephen Petraeus
” Commissioner Peirce’s Dissent. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Weekly Roundup: May 22–28, 2020
29 May 2020, 5:40 am
Mozal and David A. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Banking and finance roundup
24 Mar 2014, 9:05 pm by Walter Olson
[David Burton, Heritage] “Lawyer: How I Committed Insider Trading” [Bloomberg Law video via Prof. [read post]
Overlawyered - http://overlawyered.com/
Weekly Roundup: September 25–October 1, 2020
2 Oct 2020, 6:11 am
Securities and Exchange Commission, on Friday, September 25, 2020 Tags: Boards of Directors, Institutional Investors, Proxy voting, Rule 14a-8, SEC, SEC rulemaking, Securities regulation, Shareholder proposals, Shareholder voting Statement by Commissioner Peirce on Procedural Requirements and Resubmission Thresholds under Rule 14a-8 Posted by Hester Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Weekly Roundup: September 18–24, 2020
25 Sep 2020, 6:31 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Friday, September 18, 2020 Tags: Accredited investors, Capital formation, Capital markets, Institutional Investors, Regulation D, SEC, Securities regulation, Solicitation Remarks by Commissioner Peirce on The Role of Asset Management in ESG Investing Posted by Hester Peirce, U.S. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
St. John Green on Torts and Crime in 1875: The Kikuchi Notebooks
27 Mar 2017, 9:30 pm by Dan Ernst
Peirce, and W. [read post]
Legal History Blog - http://legalhistoryblog.blogspot.com/
Weekly Roundup: February 11-17, 2022
18 Feb 2022, 6:01 am
Eddy, and David M. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Weekly Roundup: May 27-June 2, 2022
3 Jun 2022, 6:31 am
Peirce, U.S. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu