Search for: "Troy A. Paredes"
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25 May 2011, 11:33 am
” Commissioner Troy Paredes shared Casey's concerns in voting against the rules, arguing that the final rule “unduly erodes the value of internal compliance programs. [read post]
24 Feb 2010, 5:06 pm
Based on the comments the SEC received, she expects many people to be disappointed that the circuit breaker restricts short selling, while others will claim that the rule does not go far enough.Among the objections of Commissioner Troy Paredes to the rule changes was that he feels a 10% threshold is indiscriminate and not narrowly tailored as suggested by the staff. [read post]
9 Sep 2010, 2:40 pm
Vice President Walter Mondale will give a keynote address the evening before, and SEC Commissioner Troy Paredes will speak at lunch. [read post]
14 Jun 2015, 9:29 pm
Paredes Disclosure is powerful, but that does not mean that more disclosure is always better than less. [read post]
24 Dec 2023, 9:05 pm
Sunstein, Troy A. [read post]
15 Mar 2010, 12:54 pm
Mary Schapiro and Elisse Walter have spent most of their adult lives as securities regulators; Kathleen Casey worked as a staffer on Capitol Hill; and Troy Paredes was a corporate and securities law professor after working for a few years at BigLaw. [read post]
30 May 2013, 2:35 pm
Michael Piwowar is to replace SEC Republican Commissioner Troy Paredes, whose term is expiring in June, and Kara Stein is to replace SEC Democratic Commissioner Elisse Walter. [read post]
1 Jan 2013, 9:30 pm
SEC Commissioner Troy Paredes expressed this concern at the program’s outset, stating that “the Commission should have underpinned the integrity of internal compliance programs by requiring a whistleblower, in order to receive a bounty, to have internally reported the same information as . . . provide[d] to the SEC. [read post]
22 May 2009, 11:29 am
" The SEC's two Republican commissioners, Kathleen Casey and Troy Paredes, both voted against the access proposal. [read post]
19 Apr 2010, 5:11 pm
SEC Commissioners Kathleen Casey and Troy Paredes reportedly voted against bringing the suit. [read post]
25 Aug 2010, 7:00 am
Republican Commissioner Troy Paredes also opposed the new Rule 14a-11. [read post]
22 Jul 2011, 7:20 pm
As SEC Commissioner Troy Paredes pointed out in dissenting from adoption of new Rule 14a-11, proxy access marks a considerable displacement of state corporate law by federal securities regulation: Rule 14a-11’s immutability conflicts with state law. [read post]
24 Nov 2017, 6:01 am
Karp, Paul, Weiss, Rifkind, Wharton & Garrison LLP, on Monday, November 20, 2017 Tags: Basic, Class actions, Fraud-on-the-Market, Misreporting, Reliance, Securities enforcement, Securities fraud, U.S. federal courts Analysis of SEC Guidance on Shareholder Proposals Posted by Troy Paredes, Allie Rutherford, and Sharo Atmeh, CamberView Partners, on Monday, November 20, 2017 Tags: Boards of… [read post]
25 Aug 2010, 1:39 pm
SEC Commissioner Troy Paredes issued a powerful and compelling dissent. [read post]
25 May 2011, 1:31 pm
" Commissioner Troy Paredes disagreed and did not think "that the final rule adequately preserves the important role that corporate compliance programs serve in ensuring that the law is complied with and that other misbehavior is deterred. [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]
24 Jan 2011, 9:21 am
More specifically, the study said that the standard should provide that the broker or adviser must act in the best interest of the customer without regard to the financial or other interest of the broker or investment adviser providing the advice.In a separate statement, Commissioners Kathleen Casey and Troy Paredes opposing sending the staff study to Congress as drafted because it does not fulfill the mandate of Section 913 to evaluate the effectiveness of existing legal or… [read post]
2 Jun 2011, 7:33 am
However, the dissenting commissioners—Kathleen Casey and Troy Paredes—argued that the final rules still do not adequately preserve the role of corporate compliance programs. [read post]
13 Feb 2012, 3:08 am
55 new acquisitions for the Osgoode Hall Law School Library, including 19 from 2012: BL 53 B397 2010 The new metaphysicals : spirituality and the American religious imagination Courtney Bender. [read post]
18 Nov 2010, 6:00 am
" 6:15 am Pacific: SEC Commissioner Troy A. [read post]
