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News
First Amendment Sense and Sensibilities: Statement on Proposed Rescission of Pay-to-Play Rule
1+ week, 2+ day ago (308+ words) Today, the Commission proposed to rescind Investment Advisers Act rule 206(4)-5, the investment adviser “Pay-to-Play Rule.” I am thrilled that we are proposing to eliminate rather than simply amend the rule, which always has bothered my First Amendment sensibilities.[1] Political speech…...
Statement on Proposal to Rescind “Pay-to-Play” Rule
1+ week, 2+ day ago (182+ words) However, since its adoption, it has proven only to be needlessly penalizing, burdensome and complex to implement, and misaligned with the SEC’s mandate. To that end, our proposal would rescind the political contribution rule in its entirety and amend the…...
Time to Transfer: Statement on Proposed Transfer Agent Rules
1+ week, 5+ day ago (555+ words) Commissioner Hester M. Peirce Official websites use.gov Secure.gov websites use HTTPS More in this Section Time to Transfer: Statement on Proposed Transfer Agent Rules I am delighted that the transfer agent rule proposal is seeing the light of day…...