BROWSE BY TOPIC
Stories of Interest
- State Street Challenging BNY Mellon As Largest Custody Bank
- Changes to FINRA Advisory Committees: Phase 1
- SEC Approves CAT Fee Dispute Resolution Process
- Boston-Area Consultant & Friend Settle SEC Insider Trading Charges
- SEC Chair Clayton: Statement on Status of the Consolidated Audit Trail ('CAT')
- Goldman to Launch $5bn Fund with China Investment Corp.
- Wells Fargo Launches Robo-Adviser Targeting Millenial Investors
- Barclays Fails to End U.S. 'Dark Pool' Class Action
- Goldman Sachs' Chief Risk Officer, Craig Broderick, to Retire
- Time to Renew FINRA Registrations - B/D, IA, Agent, IA Rep, Branches
- New Jersey’s Next Governor Could Be a Democrat Who Worked at Goldman Sachs
- FINRA New York Region Networking Seminar - December 1st
- SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers
- Hedge Fund Giant Paul Singer Targeted for Destruction by Steve Bannon
- Saudi Arabia's arrest of Prince Alwaleed 'would be like arresting Warren Buffett or Bill Gates' in the US
- Arrest of Billionaire Saudi Prince Touches Sizable Stakes - Citigroup, Twitter, Lyft
- New York Fed President William Dudley set to announce retirement
- FINRA Arbitration Panel Rules Against ex-LPL Broker in $30Mn Lawsuit vs. Firm
- OOPS! Goldman, JPMorgan, BofA Fail in Pricing an IPO
- Former Merrill Broker Pleads Guilty to Fee Fraud, Faces Up To 25 Years
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NEWSLETTERS & ALERTS
Hester Peirce is Likely Nominee for SEC Commissioner Seat
Ms. Hester Peirce, a former SEC counsel and Senate aide, is the Trump administration’s likely choice for the open Republican seat at the Securities and Exchange Commission, according to Bloomberg News. SEC nominees must be confirmed by the Senate.
Ms. Peirce is a research fellow at the Mercatus Center at George Mason U. who has been sharply critical of the regulatory expansion enacted in response to the 2008 financial crisis. President Obama had nominated Ms. Peirce in 2015, but her nomination stalled in the Senate Banking Committee last year along with that of Democrat-backed law professor Lisa Fairfax.
Two names have popped up for the open Democratic Commissioner seat: Robert Jackson, a Columbia U. law professor, and Bharat Ramamurti, an aide to Senator Elizabeth Warren.