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16 Nov 2018, 3:02 am
– Recently, John blogged about “Tweet Fight! [read post]
14 Nov 2018, 7:36 am
Asked about possible progress on other unfinished Dodd-Frank rulemaking, Hinman said that Chairman Clayton wants to do them serially, so once the hedging proposals are out the staff will move on to the others. [read post]
2 Nov 2018, 10:18 am
Wesley Cochran, Dustin Benham, Alyson Drake, Allison Clayton, Jarod Gonzalez, Charles Bubany, Dwight McDonald, Donnie Yandell, and Larry Spain. [read post]
29 Oct 2018, 3:05 am
This blog from John Stark – President of John Reed Stark Consulting and former Chief of the SEC’s Office of Internet Enforcement – outlines successful enforcement efforts under this theory from 2005 – 2016, and criticizes the lack of any more recent action. [read post]
24 Oct 2018, 4:33 pm
I would like to thank John for his willingness to allow me to publish his article as a guest post on this site. [read post]
15 Oct 2018, 2:06 pm
Clayton Roberts10:00 a.m. [read post]
12 Oct 2018, 8:05 am
SEC Chairman Jay Clayton answered questions from CNBC’s John Harwood about the benchmark and other market regulation topics, but declined to comment on the Commission’s recent tangle with Elon Musk. [read post]
12 Oct 2018, 3:00 am
'” Clayton said in a brief interview after the event. [read post]
10 Oct 2018, 12:40 pm
Here is John’s post. [read post]
2 Oct 2018, 1:00 pm
Of course, the Lone Ranger and Tonto went on to ride off into those thrilling days of yesteryear, as personified by Clayton Moore and Jay Silverheels. [read post]
22 Sep 2018, 8:20 am
Parrella also noted that he knows Brigadier General John Baker, the chief defense counsel. [read post]
4 Sep 2018, 3:35 pm
Every year just after Labor Day, I take a step back and survey the most important current trends and developments in the world of Directors’ and Officers’ liability and D&O insurance. [read post]
3 Sep 2018, 4:49 pm
Days later, a Papa John’s shareholder filed a securities class action lawsuit against the company and certain of its executives following revelations that the company’s former CEO and Chairman, John Schnatter, and other company executives had engaged in sexual harassment and other sexual misconduct at the company. [read post]
30 Aug 2018, 4:49 pm
Days later, a Papa John’s shareholder filed a securities class action lawsuit against the company and certain of its executives following revelations that the company’s former CEO and Chairman, John Schnatter, and other company executives had engaged in sexual harassment and other sexual misconduct at the company. [read post]
23 Aug 2018, 3:00 am
– John Jenkins [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
30 Jul 2018, 3:03 am
This tone seems to play to Chair Clayton’s focus on retail investors. [read post]
13 Jul 2018, 6:19 am
Posted by John Chiang, California State Treasurer; Michael Frerichs, Illinois State Treasurer; Michael l. [read post]
10 Jul 2018, 5:17 pm
If you have any questions or would like additional information, please feel free to contact John McCarrick (mccarrickj@whiteandwilliams.com; 212.714.3072), Sedgwick Jeanite (jeanites@whiteandwilliams.com); 212.631.4413), or Michael Goldwasser (goldwasserm@whiteandwilliams.com; 212.631.4438). _______________________ [i] See Public Statement of SEC Chairman Jay Clayton, “Statement on Cryptocurrencies and Initial Coin Offerings,” December 11, 2017… [read post]
10 Jul 2018, 1:19 pm
Witmer, John O’Loughlin, J. [read post]
