Search for: "Luis A. Aguilar, U.S. Securities and Exchange Commission," Results 81 - 100 of 118
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Making Capital Formation Work for Smaller Companies and Investors
4 Nov 2015, 6:02 am
Securities and Exchange Commission, on Wednesday, November 4, 2015 Editor's Note: Luis A. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Allen Stanford Ponzi Victims Entitled to Investor Protections, SEC Announces
15 Jun 2011, 2:31 pm by Jenna Greene
Securities and Exchange Commission today announced that victims of Allen Stanford's Ponzi scheme are entitled to the protections of the Securities Investor Protection Act of 1970, which means they may be entitled to get their money back. [read post]
The BLT: Blog of Legal Times - http://legaltimes.typepad.com/blt/
The Role of Chief Compliance Officers Must be Supported
30 Jun 2015, 12:59 pm by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
A Registration Framework for the Derivatives Market
12 Aug 2015, 6:33 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
The CEO Pay Ratio Rule
5 Aug 2015, 2:23 pm by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
The Importance of Being Earnest About Liquidity Risk Management
30 Sep 2015, 7:00 am
Securities and Exchange Commission, on Wednesday, September 30, 2015 Editor's Note: Luis A. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Wow! 3000 Tips in One Year for the SEC's New Whistleblower Office
30 Oct 2012, 8:31 am
When Congress passed a law encouraging whistleblowers to report fraud to the SEC, everyone expected that the Securities and Exchange Commission (SEC) would get more tips. [read post]
Atlanta Injury Lawyer Blog - http://www.atlanta-injurylawyerblog.com/
The Continuing Work of Enhancing Small Business Capital Formation
20 Nov 2015, 6:14 am
Securities and Exchange Commission, on Friday, November 20, 2015 Editor's Note: Luis A. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Bipartisan Group of Former SEC Officials and Securities Experts Confirms Longstanding SEC Authority on Climate Disclosure
16 Jun 2022, 9:05 pm by Working Group on Securities Disclosure Authority
Securities and Exchange Commission on June 16, 2022. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Focusing on Dealer Conduct in the Derivatives Market
8 May 2015, 6:10 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Effective Regulatory Oversight and Investor Protection Requires Better Information
21 May 2015, 6:06 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
A Threefold Cord—Working Together to Meet the Pervasive Challenge of Cyber-Crime
26 Jun 2015, 6:00 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
GOP SEC Appointees Voted Against Charges Against Goldman
19 Apr 2010, 3:32 pm by Big Tent Democrat
Securities and Exchange Commission split 3-2 along party lines to approve an enforcement case against Goldman Sachs Group Inc., according to two people with knowledge of the vote. [read post]
TalkLeft: The Politics of Crime - http://www.talkleft.com/
Revisiting the Regulatory Framework of the US Treasury Market
16 Jul 2015, 6:13 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
The SEC Releases a Study on Transnational Fraud Lawsuits - Ted Allen - Governance
11 Apr 2012, 4:15 pm by Ted Allen
 In an unusual display of dissent, Commissioner Luis Aguilar criticized the staff study for failing to make such a recommendation. [read post]
Institutional Shareholder Services - Insight - http://blog.issgovernance.com/
The Securities and Exchange Commission Opens the Door for Hedge Fund Advertising
12 Jul 2013, 12:12 pm by Ailyn Cabico
  However, much to the consternation of the lone dissenting Commissioner Luis Aguilar, this provision will not bar persons who have committed financial and other crimes in the past. [read post]
Investment Fund Law Blog - http://www.investmentfundlawblog.com/
Making Executive Compensation More Accountable
1 Jul 2015, 1:00 pm by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Improving Transparency for Executive Pay Practices
30 Apr 2015, 6:14 am by Harvard Law School Forum on Corporate Governance and Financial Regulation
Securities and Exchange Commission. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Final Proxy Access Rule Wins SEC Approval - Ted Allen - Governance
25 Aug 2010, 7:00 am by Ted Allen
Securities and Exchange Commission voted 3-2 today to approve a final proxy access rule that will be in effect for most of the 2011 proxy season. [read post]
Institutional Shareholder Services - Insight - http://blog.issgovernance.com/
In Split Vote, SEC Approves New Rules to Reward Whistleblowers
25 May 2011, 11:33 am by Jenna Greene
Securities and Exchange Commission today approved final rules for rewarding whistleblowers who provide the agency with tips that lead to successful prosecutions. [read post]
The BLT: Blog of Legal Times - http://legaltimes.typepad.com/blt/