Search for: "Luis Aguilar"
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24 Apr 2012, 2:14 pm
As discussed by the D&O Diary , commissioner Luis Aguilar filed a dissenting statement with the report, in which he expresses his "strong disappointment that the study fails to satisfactorily answer the Congressional request, contains no specific recommendations, and does not portray a complete picture of the immense and irreparable investor harm that resulted and that will continue to result due to Morrison v. [read post]
30 Apr 2013, 11:25 am
First, a few weeks ago, SEC Commissioner Luis Aguilar, in opening remarks to the North American Securities Administrators Association’s Annual NASAA/SEC 19(d) Conference, in the section entitled “Pre-Dispute Mandatory Arbitration Weakens Investor Protection,” reiterated his long-standing opposition to mandatory arbitration, but added a level of focus and detail to his arguments I had not seen previously. [read post]
24 Mar 2009, 5:20 am
SEC Commissioners Speak Out on Enforcement Policy Last week, in this speech, Commissioner Luis Aguilar predicted the SEC will impose more fines on companies going forward - and expressed a desire to rescind the SEC's policy statement that guides the Enforcement Division on how to determine financial penalties because he believes it doesn â [read post]
22 Jan 2008, 3:12 am
On Saturday, drug-smuggling suspects from Mexico killed an American border patrol agent, Luis Aguilar, 32, when he tried to stop their cars west of Yuma, Az. [read post]
8 May 2012, 9:42 am
Schapiro also does not have support from a majority of the SEC’s board, with Luis Aguilar, a swing vote on the proposal, said to be undecided. [read post]
15 May 2015, 5:00 am
SEC’s Daniel Gallagher resigning as commissioner in Investment News The White House will now need to replace him as well as Luis Aguilar, the Democratic commissioner whose term expires next month. [read post]
1 Aug 2008, 12:43 pm
The approved listing standards are slightly different from what was originally proposed including: - reduced amount of gross proceeds that must be deposited from 100% to 90% - clarified period in which SPAC must complete one or more business combinations - required all listed SPACs contain provisions allowing shareholders to convert shares into cash if they vote against a business combination Another SEC Commissioner Sworn In Yesterday, Luis Aguilar was sworn in as a… [read post]
31 Jan 2011, 12:44 pm
Aguilar, Kathleen L. [read post]
25 Jun 2015, 6:34 am
Senator Bob Menendez (D-N.J.) and SEC Commissioner Luis A. [read post]
24 Feb 2015, 3:35 am
The Glaring Lack of Racial Diversity Continues in Our Profession In this speech, SEC Commissioner Luis Aguilar listed his priorities including wrapping up the outstanding rulemakings required by Congressional acts and the need for the SEC to bring enforcement cases that are a real deterrent. [read post]
28 May 2010, 5:00 am
SEC Commish: Agency Needs to Get Tough on Miscreants Kara Scannel’s coverage from the Wall Street Journal’s Law Blog If Securities and Exchange Commissioner Luis Aguilar has his way, corporate miscreants will face stronger sanctions. [read post]
8 Sep 2011, 12:02 pm
Jose Luis Benito Obregon Hernandez, 22, found in Fort Atkinson, Wis., on September 7, 2011. [read post]
8 Sep 2011, 12:02 pm
Jose Luis Benito Obregon Hernandez, 22, found in Fort Atkinson, Wis., on September 7, 2011. [read post]
20 Jun 2009, 9:38 am
In a speech delivered May 7th at the Advisers Association's annual conference, SEC Commissioner Luis Aguilar said that broker representatives increasingly provide investment advice, and such advisors have "an affirmative obligation to put a client's interest above his or her own. [read post]
21 Jul 2011, 2:01 pm
Aguilar (29, Madera, California); Jose Jorge Monteon Delfin (42, Los Angeles, California); Edgar Yanez Gutierrez (25, address unknown); Robert Hayes (35, Tampa, Florida); Noemi Monteon (37, Los Angeles, California); Gabriel Salazar Pena (43, Manteca, California); Enrique Hernandez Ramirez (41, Dade City, Florida); Jabulani Bendar Seay (34, Tampa, Florida); Gwendolyn Shank (54, Tampa, Florida); Carlos Byron Smith (32, Tampa Florida); Alejandro Arias Perez (40, Dade City, Florida); Jennifer… [read post]
21 Jul 2011, 2:01 pm
Aguilar (29, Madera, California); Jose Jorge Monteon Delfin (42, Los Angeles, California); Edgar Yanez Gutierrez (25, address unknown); Robert Hayes (35, Tampa, Florida); Noemi Monteon (37, Los Angeles, California); Gabriel Salazar Pena (43, Manteca, California); Enrique Hernandez Ramirez (41, Dade City, Florida); Jabulani Bendar Seay (34, Tampa, Florida); Gwendolyn Shank (54, Tampa, Florida); Carlos Byron Smith (32, Tampa Florida); Alejandro Arias Perez (40, Dade City, Florida); Jennifer… [read post]
21 Feb 2013, 4:22 am
And Commissioner Luis Aguilar delivered this speech yesterday on proxy disclosure... [read post]
15 Jan 2013, 5:34 am
SEC Commissioner Luis Aguilar did not like the rule, saying it lacked adequate investor protections. [read post]
18 Feb 2011, 1:29 pm
Aguilar, Kathleen L. [read post]
20 May 2011, 8:47 am
1) Jim Hamilton’s World of Securities Regulation: President Obama to Nominate SEC Commissioner Who Wants to Prevent Regulatory Arbitrage and Favors Uniform Fiduciary Standard for Brokers and Advisers – This week President Obama nominated Commissioner Luis Aguilar for a second term as well as nominating former SEC staffer Daniel Gallagher to be an SEC Commissioner. [read post]
