Search for: "Rick A. Fleming"
Results 21 - 40
of 62
Sort by Relevance
|
Sort by Date
6 Jun 2019, 3:00 am
Sources: Form CRS Relationship Summary; Amendments to Form ADVRegulation Best Interest: The Broker-Dealer Standard of ConductCommission Interpretation Regarding Standard of Conduct for Investment AdvisersCommission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment AdviserStatement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers – Rick Fleming, Investor… [read post]
26 Apr 2019, 5:55 am
Fleming, U.S. [read post]
21 Apr 2019, 6:55 am
Posted by Rick A. [read post]
2 Apr 2019, 8:11 am
NASAA’s supporters (including the SEC’s Investor Advocate Rick Fleming) and the law scholar supporters (including Rochester University Professor and Wolters Kluwer securities treatise writer Joel Seligman) emphasized slightly different points to support the court of appeals’ decision. [read post]
26 Sep 2018, 2:05 pm
In 2016, then-NSA Deputy Director Rick Ledgett said that the world was growing “dimmer,” but not “dark. [read post]
13 Sep 2018, 12:50 pm
Tax Policy Workshop (Fall 2018): Thursday September 13, 2018Ajay Mehotra (Northwestern, and American Bar Foundation):The VAT Laggard: A Comparative History of US Resistance to the VAT(co-sponsored with BC Legal History Workshop) Tuesday November 6, 2018Andrew Hayashi (UVA): title TBD Tuesday Nov. 13, 2018Cliff Fleming (BYU): title TBD Tuesday November 27, 2018Emily Satterthwaite (University of Toronto): title TBD (co-sponsored with BC Regulation and Markets Workshop) Regulation and… [read post]
29 Apr 2018, 3:03 pm
In a February 24, 2018 speech, Rick Fleming, Investor Advocate at the SEC, called mandatory arbitration of shareholder claims “an illusory remedy. [read post]
15 Mar 2018, 8:48 am
Rob Bradley, R-Fleming Island, allowing it to stall in his committee for well over a month. [read post]
2 Mar 2018, 6:09 am
Fleming, U.S. [read post]
27 Feb 2018, 4:40 pm
In a February 24, 2018 speech, Rick Fleming, Investor Advocate at the SEC, called mandatory arbitration of shareholder claims “an illusory remedy. [read post]
27 Feb 2018, 8:30 am
Posted by Rick A. [read post]
26 Feb 2018, 3:29 am
Mandatory Arbitration: An Illusory Remedy for Public Company Shareholders (Speech at PLI’s The SEC Speaks in 2018 by Rick A. [read post]
9 Nov 2017, 3:18 am
Many others at the SEC, including Rick Fleming, our Investor Advocate, and the Office of Investor Education and Advocacy, concentrate on retail investors generally and have outreach efforts focused on investors who are teachers, students, serve in the military, or live in retirement communities. [read post]
13 Oct 2017, 7:13 am
”The SEC’s Investor Advocate, Rick Fleming, asked specifically how the securities markets would change under distributed ledger technology. [read post]
11 Sep 2017, 6:52 am
Academicians from Ohio State University, New York University, and the University of Maryland discussed the available research on ETPs’ effect on the financial markets, followed by a panel discussion on their implication for investors led by Investor Advocate Rick Fleming. [read post]
2 Dec 2016, 1:01 am
Fleming, U.S. [read post]
29 Nov 2016, 1:06 am
Posted by Rick A. [read post]
23 Feb 2016, 7:24 am
By Jacquelyn LumbIn remarks at the Practising Law Institute’s SEC Speaks conference, Investor Advocate Rick Fleming warned about a downward drift in the exchanges’ listing standards since they became for-profit businesses. [read post]
6 Jan 2016, 8:20 am
By Lene Powell, J.D.In the guise of a comment letter on a BATS proposal to strengthen its authority to combat disruptive trading, a commenter pretending to represent a fictional proprietary trading firm pilloried SEC Investor Advocate Rick Fleming on the subject of high-frequency trading. [read post]
17 Nov 2015, 7:27 am
Rick Fleming, Director of the Office of Investor Advocate at the Securities and Exchange Commission, started with a keynote. [read post]
