Search for: "Troy A. Paredes, Commissioner, U.S. Securities and Exchange Commission,"
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27 Sep 2020, 9:02 pm
Paredes, former Commissioner of the U.S. [read post]
1 Jan 2013, 9:30 pm
Securities and Exchange Commission (SEC) received more than three thousand whistleblower tips between November 2011 and November 2012, the first full year of a program created by the Dodd-Frank Wall Street Reform and Consumer Protection Act. [read post]
24 Dec 2018, 9:30 pm
These rules, former SEC commissioner Troy Paredes points out, allow investors to “bring pressure to bear on directors, officers, fund managers, and other market participants to serve investor interests. [read post]
19 Apr 2010, 5:11 pm
See Securities and Exchange Commission v. [read post]
30 Dec 2014, 9:30 pm
Former Commissioner Speaks About SEC’s Role in Rapidly Changing Market Maho Sato (RegBlog) | March 27 The past five years were the busiest in the history of the Securities and Exchange Commission (SEC) according to Troy A. [read post]
2 Mar 2010, 1:34 pm
Lek suggested that the Commission should limit the number of orders or cancellations that a single beneficial owner can send to an exchange in a single symbol on the same side of the market to one per second, and require that all orders received within one second be considered as received at the same time.Lek Securities agreed with Penson and Wedbush, however, that the rule should continue to permit sponsored access where the person being sponsored is itself an… [read post]
2 Jun 2011, 7:42 am
Brief Summary of Rules Section 922 of Dodd-Frank added new Section 21F to the Securities Exchange Act of 1934 entitled, “Securities Whistleblower Incentives and Protection. [read post]
24 Nov 2009, 9:12 am
In June 2009, the Securities and Exchange Commission proposed to require public companies, under certain circumstances, to include in the company proxy statement and proxy card the names of director nominees submitted by substantial long-term shareholders (generally referred to as “access to the proxy†or “proxy accessâ€). [read post]
