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Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...
A New York Supreme Court justice has ordered the assets of a private fund and related broker-dealer frozen, after evidence revealed “a shocking level of ...
SEC Chairman Jay Clayton has told advocates that he is open to shortening the seven-day delay written into a proposed proxy advisor rule (RCW, Nov. ...
A Brick, N.J. broker-dealer will still have to sit out its suspension for failing to file audited reports with regulators but will be $3,000 richer ...
The SEC’s pursuit of a personal injury lawyer accused of bilking stricken former football players out of their lives’ savings has dragged a private Houston ...
A former healthcare analyst at a private fund has agreed to a three-year bar and will pay nearly $135,000 to settle claims that he helped ...
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
Embattled private fund adviser GPB Capital says it will not be able to publish its financial reports by the year’s end and that the company’s ...
“Trust,” longtime DC pundit David Gergen once said, “is the coin of the realm in politics.” As long as SEC Chairman Jay Clayton has his ...
The SEC is considering rules that it hopes will speed up exemption applications. In a 55-page rulemaking notice released Oct. 21, the Commission says it ...
Dual-Class Shares: A Recipe for Disaster Rick Fleming Investor Advocate ICGN Miami Conference, Miami, Florida Oct. 15, 2019 Thank you, Kerrie Waring, for your ...
Cleveland, Kondo, and Capital: Remarks before the American Chamber of Commerce Commissioner Hester Peirce Tokyo, Japan Aug. 7, 2019 It is an honor to be ...
The challenges of cross-border regulation are, of course, not new at all, but they have accelerated over the years as technology has facilitated the integration ...
I want to address a general issue—whether it is appropriate to maintain a regulatory distinction between broker-dealers and investment advisers. A number of commenters expressly ...
Baby on Board: Remarks before the Society for Corporate Governance National Conference Commissioner Hester Peirce San Diego, California June 28, 2019 A few months ago ...
Given the influential role of proxy advisors, companies started to realize that they needed to pay attention to proxy advisors’ recommendations. For example, up to ...
But I am troubled by the substantial amount of losses that we may not be able to recover for retail investors as a result of ...
One issue that I would like to see the Division of Investment Management add to its agenda is the marketplace’s interest in gaining exposure to ...
One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is ...
his central theme in Jasay’s work—“that it is monumental folly to ignore the state’s own interest in any analysis worthy of consideration”[47]—forces his readers to ...
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