Tag: Hester Peirce
SEC Brings Four Pay-to-Play Cases, Commissioner Peirce Highlights Need to Revisit the Rule
The SEC charges four investment advisers with violations of the Pay-to-Play rule, as Commissioner Peirce calls on the SEC to revisit the “exceedingly blunt instrument.”
September 22, 2022
Tags: Hester Peirce, Pay-to-Play
SEC Proposes Cybersecurity, Private Fund Adviser Rules
The SEC has issued three rulemaking proposals – on cybersecurity, private fund advisers, and shortening the settlement cycle – that will have major implications for investment advisers.
February 09, 2022
Tags: Form ADV, Cybersecurity, Hester Peirce, Private Funds, Trading
SEC Calls for Additional Private Fund Reporting and Information
The SEC proposed substantial changes to Form PF that would require private fund managers to report certain events within one day and private equity fund managers to provide additional information.
January 27, 2022
Tags: Form PF, Gary Gensler, Hedge Funds, Hester Peirce, Private Equity, Private Funds, SEC
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
Tags: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce
Europe Not a Model for ESG Regulation in U.S., Says SEC’s Peirce Commissioner Questions Agency’s Recent ESG, Climate Initiatives March 9, 2021 The European “merit regulation” on ESG is not...
March 09, 2021
Tags: Compliance Conference, ESG, Form CRS, Hester Peirce, Takeaways
Jackson Departing SEC Commission; Crenshaw to be Nominated as Successor?
Jackson Departing SEC Commission; Crenshaw to be Nominated as Successor? January 28, 2020 SEC Commissioner Robert J. Jackson Jr. On January 16, SEC Commissioner Robert J. Jackson Jr. announced...
January 28, 2020
Carolyn Crenshaw Nominated and Hester Peirce Renominated to SEC
Caroline Crenshaw Nominated and Hester Peirce Renominated to SEC June 26, 2020 President Trump on June 2 nominated Hester Peirce to serve a second term as an SEC Commissioner. Peirce, who...
June 26, 2020
All Things Digital, Private Markets Highlighted at SEC Speaks Conference
SEC commissioners and senior SEC officials provided updates on high priority issues and initiatives at the recent SEC Speaks in 2021 conference. Digital engagement practices, digital assets, and the private markets dominated their remarks.
October 15, 2021
Tags: FinTech, Allison Herren Lee, Caroline Crenshaw, Digital Assets, Elad Roisman, Gary Gensler, Hester Peirce, Private Offerings, Rick Fleming, SEC Enforcement, SEC Investor Advocate
SEC Proposes Reporting Say-on-Pay Votes, Updates to Fund Proxy Reporting
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
Tags: Elad Roisman, ESG, Gary Gensler, Hester Peirce, Mutual Funds, Proxy, SEC Investment Management
SEC Issues Interim Updates to Whistleblower Procedures
SEC Issues Interim Updates to Whistleblower Procedures Commissioners Peirce and Roisman Take Issue August 24, 2021 The SEC adopted amendments to its Whistleblower Program rules in September 2020 that address...
August 24, 2021
Tags: Elad Roisman, Gary Gensler, Hester Peirce, SEC Enforcement
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