SEC

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 ...