Search for: "Efficient Advisors, LLC"
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25 Nov 2016, 1:01 am
Pay for Performance Alignment in Times of Declining Performance Posted by Jeff Joyce and Brian Lane, Pay Governance LLC, on Sunday, November 20, 2016 Tags: Compensation disclosure, Executive Compensation, Executive performance, Firm performance, Incentives, Institutional Investors, ISS, Management, Pay for performance, Proxy advisors, Proxy voting, Say on pay, Shareholder value, Surveys The Law and Brexit VIII Posted by Thomas J. [read post]
9 Nov 2016, 6:30 am
Author Michael Stack, Principal, COMPClub, Amaxx LLC. [read post]
28 Oct 2016, 1:00 am
Overcoming Selection Bias Posted by Alexander Vedrashko, Simon Fraser University, on Sunday, October 23, 2016 Tags: Behavioral finance, Capital markets, Dividends, Earnings announcements, Earnings disclosure, Firm performance,Information environment, Market efficiency, Market reaction, Market timing, Merger announcements, Repurchases Can Business Help Fix Our Broken Politics? [read post]
21 Oct 2016, 1:00 am
Langevoort, Georgetown University Law Center, on Thursday, October 20, 2016 Tags: Behavioral finance, Compliance & ethics, Disclosure, Diversity, Information environment, Insider trading, Investor protection, Market efficiency, Misconduct, Overconfidence, Securities regulation Voting Standards Are Not that Standard Posted by Daniel E. [read post]
1 Jul 2016, 6:11 am
Santori, Pillsbury Winthrop Shaw Pittman LLP, on Friday, June 24, 2016 Tags: Banks, Bitcoin, Blockchain, Capital markets, Clearing houses, Delaware law, Financial regulation, Financial technology, Intermediaries, IPOs, Market efficiency, Securities regulation, State law Brexit: Legal Implications Posted by Ben Perry, Sullivan & Cromwell LLP, on Friday, June 24, 2016 Tags: Banks, Brexit, Contracts, EU, Europe, Financial institutions, Financial regulation, Foreign banks,… [read post]
30 Jun 2016, 1:34 pm
Rosen, Sapperstein & Friedlander LLC, a business consulting and accounting firm, announced it has hired Sarah Clarke, MBA as senior health care consultant for its healthcare division, RS&F Healthcare Advisors. [read post]
26 May 2016, 7:10 am
Earlier this month, the Securities and Exchange Commission (“SEC”) instituted an administrative proceeding against Blue Ocean Portfolios, LLC (“Blue Ocean”), an SEC-registered investment advisor with approximately $106 million in regulatory assets under management, and its Principal, CEO and Chief Compliance Officer, James A. [read post]
16 Feb 2016, 11:47 am
Most are comfortable with this decision as FINRA already handles about 80% of brokerage exams each year.Karen Barr, the head of the Investment Adviser Association, supported the decision, saying “This is a better, more efficient use of SEC resources to provide effective oversight of the investment advisor industry. [read post]
3 Jan 2016, 9:50 pm
Capacity to appropriately plan and prioritize and to manage multiple, sometimes competing demands efficiently in a challenging, fast-paced environment are required. [read post]
13 Dec 2015, 9:32 pm
The Chief exercises full responsibility for carrying out all policy, programmatic, and managerial matters assigned or required to assure effective and efficient operations of FIRS. [read post]
28 Oct 2015, 12:56 pm
See also LongPath Capital, LLC v. [read post]
7 Jul 2015, 9:00 am
See LongPath Capital, LLC v. [read post]
27 Apr 2015, 6:29 am
From 1989 to present Romero has been registered with LPL Financial, LLC (LPL). [read post]
19 Mar 2015, 8:57 am
. ___, Improving Coal Combustion Residuals Regulation Act of 2015" - background, webcast, testimony Citizens Excluded From Hearing On Bill That Would Weaken Ash Rules - One hundred and forty three people who live near coal ash dumps in 19 states sent a letter to complain that they are being excluded from a hearing tomorrow on a bill that would weaken federal coal ash regulations … [read post]
12 Jan 2015, 10:09 am
Melissa DeRosa has been appointed Director of Communications and Strategic Advisor to the Governor. [read post]
18 Dec 2014, 12:34 am
Time to check your crystal ball to see what it portends for the legal industry in 2015 – or you can just head over to the Business of Law Blog to see what others think. [read post]
15 Aug 2014, 5:19 am
He eventually founded his own investment firm, Apex Investment Advisors, LLC, in 2003. [read post]
22 Jul 2014, 8:08 am
LLCs are not. [read post]
18 Jun 2014, 7:08 am
Recently, a Financial Industry Regulatory Authority (FINRA) arbitration panel rendered a decision concerning Wells Fargo Advisors, LLC’s (Wells Fargo) claims against its former broker Steven Grundstedt (Grundstedt) for breach of three promissory notes. [read post]
27 Jan 2014, 7:41 am
Capital Advisors for failing to supervise employees and prevent insider trading. [read post]
