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9 Sep 2016, 6:25 am
However, FINRA’s records are not always complete according to a Wall Street Journal story that checked with 26 state regulators and found that at least 38,400 brokers had regulatory or financial red flags such as a personal bankruptcy that showed up in state records but not on BrokerCheck. [read post]
16 Aug 2022, 9:05 pm
” Wall Street Journal, June 23. [read post]
21 Aug 2009, 4:00 am
References: Picking Big ‘Peers’ to Set Pay by Cari Tuna for The Wall Street Journal Compensation Peer Groups by Michael Faulkender of the University of Maryland and Jun Yang of Indiana University in HLS Forum on Corporate Governance and Financial Regulation Faulkender, Michael W. and Yang, Jun,Inside the Black Box: The Role and Composition of Compensation Peer Groups(March 15, 2007). [read post]
11 Jul 2011, 6:12 pm
According to The Wall Street Journal, although Facebook executives had to restructure the deal, the private offering of up to $1.5 billion in Facebook shares stayed on track. [read post]
7 May 2007, 5:08 am
Former Chairman Arthur Levitt was quoted in last Saturday’s Wall Street Journal as saying, “The menu system, I believe, leads to earnings management, and that should be avoided. [read post]
24 Oct 2023, 9:01 pm
But it is clear that we cannot reverse those trends and enhance Americans’ trust in our financial institutions through our efforts alone. [read post]
25 Dec 2013, 3:17 pm
The Association of German Banks has “concerns” about the (timid) reform of Wall Street after the financial crisis of 2008. [read post]
18 Jul 2018, 4:28 pm
Background The complaint relies heavily on two Wall Street Journal articles about National Beverage. [read post]
9 Jan 2007, 5:18 am
He notes that Enron made clear in SEC filings it was getting significant revenues from related partnerships run by one of its own senior executives, and he wonders why no one except The Wall Street Journal seemed to care.We should all wonder. [read post]
8 Sep 2022, 3:34 pm
SEC Proposes New Pay for Performance Disclosure Regulations”), on April 29, 2015, in accordance with Section 953(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Reform Act”), the Securities and Exchange Commission (the “SEC”) issued a press release and published proposed regulations (Release No. 34-74835) (the “Proposed Rules”) to require specified publicly-held companies to disclose the relationship between their… [read post]
9 Feb 2009, 9:00 am
The speech also sounded a warning to those in the market, particularly Wall Street. [read post]
24 May 2010, 6:22 am
Wall Street and Main Street are in a struggle over regulation, with Wall Street making the loudest statements and are better connected. [read post]
30 Aug 2010, 8:08 am
The other day I did a post linking over to an article I recently wrote for the Wall Street Journal, entitled, "Chinese Companies Court Disaster," [if you cannot read the whole article, email to yourself] on how Chinese companies are falling down badly when it comes to understanding the American legal system and using American lawyers appropriately. [read post]
6 Jul 2009, 10:43 pm
The criminal case has the potential to shed a light on the inner workings of an important profit center for Goldman and other Wall Street firms. [read post]
13 Oct 2022, 1:55 pm
Are the corporation and D&Os sufficiently covered? [read post]
27 Sep 2019, 6:00 am
Jackson (Harvard Law School), on Wednesday, September 25, 2019 Tags: Corporate Social Responsibility, Endowments, Engagement, Environmental disclosure, ESG, Fund managers, Harvard, Institutional Investors, Proxy voting, Shareholder proposals SEC Testimony: Oversight of the Securities and Exchange Commission: Wall Street’s Cop on the Beat Posted by Jay Clayton, U.S. [read post]
20 Mar 2015, 11:51 am
Her coziness with Wall Street, and Goldman Sachs in particular, is deeply troubling and does not augur well for an aggressive approach to rein in the financial industry. [read post]
22 Apr 2010, 1:35 pm
Because this financial crisis wasn't just the result of decisions made in the executive suites on Wall Street; it was also the result of decisions made around kitchen tables across America, by folks taking on mortgages and credit cards and auto loans. [read post]
5 Jul 2023, 4:59 am
Before changing places at the client / lawyer table, I did not appreciate the contrast between the practical skills and commercial instincts it takes to run a successful business, on one hand, and the narrow technical perspective I had acquired from my Ivy League law school and top-rated Wall Street law firm, on the other. [read post]
21 May 2014, 8:57 am
The financial stakes are typically high, corporate reputations are on the line, and problems with media attention can divert critical corporate resources. [read post]
