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Peirce Warns of SEC Settlement's Impact on Complex Product Recs

Published: August 1, 2022

The SEC charged a brokerage firm and several reps with making unsuitable recommendations of complex products, but Comm. Hester Peirce worried about the impact.

Source: wealthmanagement.com

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New YorkUnited StatesBoca RatonPaul GallivanHester PeirceVrsps AppelbaumAlan AppelbaumExchange CommissionAegis Capital CorporationNational Association Of Securities DealersNew York BasedFixed IncomeNational AssociationSecurities Dealers AssociationCommissioner PeirceWhile Peirce

SEC and FINRA weighing new crypto rules | Financial Planning

Published: October 19, 2021

Commissioner Hester Peirce and CEO Robert Cook spoke amid a growing debate surrounding digital assets and their underlying technology.

Source: financial-planning.com

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Hester PeirceRobert CookNational Futures AssociationTrump AdministrationMercatus Center At George Mason UniversityUs Senate Committee On BankingBiden AdministrationNew York Law SchoolFinancial ServicesWhile PeirceMercatus CenterGeorge Mason UniversityRegulation And Compliance