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8 Sep 2022, 3:34 pm
SEC Proposes New Pay for Performance Disclosure Regulations”), on April 29, 2015, in accordance with Section 953(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Reform Act”), the Securities and Exchange Commission (the “SEC”) issued a press release and published proposed regulations (Release No. 34-74835) (the “Proposed Rules”) to require specified publicly-held companies to disclose the relationship between their… [read post]
7 Sep 2022, 7:47 am
This includes the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, which also created the SEC’s Office of the Whistleblower. [read post]
3 Sep 2022, 6:30 am
In the past five years, retail stock ownership, particularly among millennials and Gen Z, has skyrocketed, with a generation of investors who didn’t grow up reading The Wall Street Journal. [read post]
2 Sep 2022, 9:13 am
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government contractors and… [read post]
29 Aug 2022, 7:33 am
”The resolution is the latest in a chain of attacks on what the governor’s office calls “the ESG mania taking hold of Wall Street and Washington. [read post]
27 Aug 2022, 9:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6635/securities-industry-commentator/Tastyworks Eats $2 Million Worth Of Not-So-Tasty ZOOM Options (BrokeAndBroker.com Blog)Unsettling Settlement Puts FINRA's Board of Governors in Troubling Light (BrokeAndBroker.com Blog)US Department of Labor orders Wells Fargo to pay more than $22M for retaliating against executive that alleged… [read post]
27 Aug 2022, 6:31 am
Congress enacted Section 14(i) of the Exchange Act and other executive compensation reforms as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [1] Those provisions, among other things, provide disclosure into an area that had inadequate transparency. [read post]
27 Aug 2022, 6:31 am
Congress enacted Section 14(i) of the Exchange Act and other executive compensation reforms as part of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [1] Those provisions, among other things, provide disclosure into an area that had inadequate transparency. [read post]
26 Aug 2022, 1:04 pm
“As the Commission understood, paying large awards in the biggest fraud cases will have a deterrent effect on Wall Street. [read post]
25 Aug 2022, 4:18 am
I had also seen the movie “Wall Street,” and I thought the SEC lawyers looked pretty cool in their windbreakers with “SEC” on the back. [read post]
24 Aug 2022, 9:01 pm
” Without admitting or denying the SEC’s findings, BNY Mellon agreed to a cease-and-desist order, censure, and payment of a $1.5 million penalty.[14] On June 10, 2022, the Wall Street Journal reported that the SEC was investigating Goldman Sachs Group Inc. for its management of ESG investment funds. [read post]
19 Aug 2022, 4:00 am
Sinema Took Wall Street Money While Killing Tax on Investors MSN – Brian Slodysko (Associated Press) | Published: 8/14/2022 U.S. [read post]
19 Aug 2022, 3:14 am
Investing education bridges the gap between citizens and Wall Street. [read post]
18 Aug 2022, 6:51 am
Simmons report for the Wall Street Journal. [read post]
16 Aug 2022, 9:05 pm
” Wall Street Journal, June 23. [read post]
8 Aug 2022, 2:29 pm
The hot topic in the financial press, the corporate world, and the legal arena these days is “ESG. [read post]
7 Aug 2022, 11:47 am
., Tunku Varadarajan, “‘Principles for Dealing With the Changing World Order’ Review: Trouble Ahead, As Usual,” Wall Street Journal, Nov 19, 2021 (reviewer with an appointment at NYU Law concluding that Dalio “craves recognition as a polymath” and “strains much too hard to persuade us that he’s not just a wildly successful businessman”). [read post]
5 Aug 2022, 6:32 am
Congress approved the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) in 2010. [read post]
5 Aug 2022, 6:32 am
Congress approved the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) in 2010. [read post]
5 Aug 2022, 4:45 am
Youssef report for the Wall Street Journal. [read post]
