Search for: "Luis Aguilar"
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17 May 2023, 6:31 am
My special thanks to former Commissioner Luis Aguilar for initially inviting me to speak to you today. [read post]
17 May 2023, 6:31 am
My special thanks to former Commissioner Luis Aguilar for initially inviting me to speak to you today. [read post]
23 May 2008, 1:39 pm
President Bush has nominated two democrats (Elisse Walter and Luis Aguilar) and one republican (Troy Paredes). [read post]
8 May 2010, 9:48 am
Securities and Exchange Commission (SEC) Commissioner Luis Aguilar has consistently stated that Congress should mandate that all providers of investment advice, including broker-dealers, should be subject to the fiduciary standards imposed by the Investment Advisers Act of 1940 (Advisers Act). [read post]
8 Aug 2014, 8:36 am
In a recent speech given at the New York Stock Exchange, SEC Commissioner Luis A. [read post]
20 Feb 2009, 3:30 pm
As reported at The Corporate Counsel earlier this week, SEC Commissioner Luis Aguilar has recently lamented the fact that there was a sharp decrease last year in the number of retail investors who voted their proxies. [read post]
9 Dec 2014, 7:30 am
In June of this year, Commissioner Luis Aguilar gave a speech on cyber risks (here), noting both the increasing frequency and costs of attacks. [read post]
24 Apr 2015, 4:09 pm
On April 14, 2015, in a speech to the North American Securities Administrators Association (“NASAA”), Luis Aguilar, Commissioner to the Securities and Exchange Commission (“SEC”), stated that the SEC is looking closer at sales practices with respect complex securities. [read post]
25 Oct 2010, 4:09 pm
Related Web Resources: Speech by SEC Commissioner: An Insider’s View of the SEC: Principles to Guide Reform, SEC.gov, October 15, 2010 SEC Commissioner Luis Aguilar Dodd-Frank Wall Street Reform and Consumer Protection Act (PDF) [read post]
14 Dec 2007, 11:28 am
The two names put forward are Luis Aguilar, a partner at the Atlanta law firm of McKenna, Long & Aldridge and Elisse Walter, a senior FINRA official. [read post]
21 Oct 2011, 11:09 am
Wilmer Cutler Pickering Hale and Dorr partner Daniel Gallagher was confirmed to fill a Republican seat at the SEC vacated by Kathleen Casey, and Democratic commissioner Luis Aguilar was confirmed to serve a second term. [read post]
10 Mar 2015, 12:33 pm
Some interesting legal reads for the week of March 9, 2015: SEC Commissioner Luis Aguilar on secondary trading of small business stock, including discussion of a so-called “venture exchange. [read post]
19 Nov 2007, 1:48 pm
According to the report, Reid has proposed Atlanta lawyer, Luis Aguilar and FINRA official, Elisse Walter to serve as new members of the Commission. [read post]
23 Oct 2012, 6:43 pm
The MarketWatch site of the Wall Street Journal reported SEC Commissioner Luis Aguilar's comments about the SEC's Dodd-Frank whistleblower program which began last year. [read post]
14 Sep 2011, 9:27 am
In a speech yesterday, Commissioner Luis Aguilar called the Investment Advisory Committee "essential" and stated: In the current environment, revelations of egregious fraudulent conduct and recent market conditions continue to demonstrate the vulnerability of investors. [read post]
28 Dec 2015, 8:16 am
I want to thank all of the Commissioners for their input and specifically acknowledge Commissioner Luis Aguilar and former Commissioner Daniel Gallagher, who have been longtime champions of transfer agent reform. [read post]
19 May 2011, 10:12 am
President Obama intends to nominate current SEC Commissioner Luis Aguilar for a second term on the Commission and nominate former SEC staffer Daniel M. [read post]
8 Mar 2013, 7:18 am
Official portrait of Securities and Exchange Commission (SEC) Commissioner Luis A.... [read post]
6 Aug 2014, 5:17 am
OIG determined that Commissioner Luis Aguilar and two SEC staff members had, in fact, separately spoken with Lynch. [read post]
21 Feb 2010, 6:18 am
Editor’s Note: Luis A. [read post]
