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Remarks before the SIFMA Equity Market Structure Conference Commissioner Hester Peirce New York, NY April 18, 2018 Thank you, Randy [Snook], for your kind ...
The Supreme Court made it clear in February that whistleblower anti-retaliation protections extend to only those who bring their allegations to the SEC (IA Watch, ...
International Organizations: Learning from the Past to Build for the Future Commissioner Hester Peirce Armonk, New York April 11, 2018 Remarks at the 2018 ...
Remarks at the Equity Market Structure Symposium Sponsored by the University of Chicago and the STA Foundation Chairman Jay Clayton Chicago April 10, 2018 ...
In the early days, the term “ETF” meant something fairly specific. Today, however, the term is used to describe investment companies with a wide range ...
The SEC often wears blinders when it comes to cost assessment. We tend to underestimate the costs of individual rule changes. The costs incurred by ...
In short: the cyber threat is a corporate governance issue. The companies that handle it best will have relevant expertise in the boardroom and the ...
An appeals court has followed the instruction of the U.S. Supreme Court and severely reduced an adviser’s fine for ripping off clients so as to ...
You may ask what a non-profit group that works to ensure Tennessee walking horses aren’t harmed has to with an investment adviser barred by an ...
Although I am excited about the potential for RegTech and FinTech I cannot end this discussion without admitting that they also give me a certain ...