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“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 ...
Undoubtedly, digital assets can be securities if they meet the Howey test. On this point, the SEC has been very clear. In 2017, before my ...
Strong compliance programs incorporate legal requirements and essential controls that are periodically reviewed and updated. As firms are confronted with technology-driven changes, new regulatory requirements, ...
Lots of people want the SEC to wade into a whole range of issues that are not properly within our purview. Increasingly, we are urged ...
xaminers have frequently observed deficiencies with respect to the custody rule, and in 2017, OCIE issued a Risk Alert identifying some of the typical deficiencies ...
Executive Pay Needs a Transparent Scorecard Commissioner Robert Jackson, Jr. April 10, 2019 Shareholders need to know when CEO comp is tied to disappointing results ...
Management’s Discussion and Analysis of the SEC: Remarks at the “SEC Speaks” Conference Chairman Jay Clayton Washington D.C. April 8, 2019 Thank you, Stephanie [Avakian], ...
Remarks at SEC Speaks: Encouraging Smaller Entrants to Our Capital Markets Commissioner Elad Roisman The SEC Speaks Washington D.C. April 8, 2019 I. Introduction ...
SECret Garden: Remarks at SEC Speaks Commissioner Hester Peirce SEC Speaks 2019 Washington D.C. April 8, 2019 I would like to begin with the ...
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