Search for: "Jay Stocking"
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1 May 2018, 9:14 am
According to the SEC’s complaint, Esposito purportedly paid third-party stock promoters to tout Cannabiz stock in order to increase its price and trading volume. [read post]
4 Oct 2019, 6:00 am
Katz and Laura McIntosh, Wachtell, Lipton, Rosen & Katz, on Friday, September 27, 2019 Tags: Business Roundtable, Hedge funds, Investor horizons, Long-Term value, Securities regulation, Shareholder activism, Shareholder primacy, Short-termism Taking Significant Steps to Modernize Our Regulatory Framework Posted by Jay Clayton, U.S. [read post]
19 Feb 2007, 11:22 am
"The Carnival of Personal Finance is also up at Stock Market Beat . [read post]
25 May 2010, 9:12 am
Some would argue that knowledge is our stock and trade, and it is of course. [read post]
8 Jan 2021, 5:52 am
This post is based on her letter to outgoing SEC Chairman Jay Clayton. [read post]
16 Nov 2016, 8:33 am
The post Broker-Dealer ProEquities, Inc. is Censured and Fined by FINRA for Inadequately Supervising Reps Selling Non-Traditional ETFs. appeared first on Stock Market Loss. [read post]
16 Nov 2016, 8:33 am
The post Broker-Dealer ProEquities, Inc. is Censured and Fined by FINRA for Inadequately Supervising Reps Selling Non-Traditional ETFs. appeared first on Stock Market Loss. [read post]
16 Nov 2016, 8:33 am
The post Broker-Dealer ProEquities, Inc. is Censured and Fined by FINRA for Inadequately Supervising Reps Selling Non-Traditional ETFs. appeared first on Stock Market Loss. [read post]
4 Nov 2016, 12:47 pm
This article was originally posted on Stock Market Loss On October 17, 2016, broker-dealer ProEquities, Inc. of Birmingham, Alabama was censured and fined $165,000 by FINRA. [read post]
10 Nov 2017, 6:22 am
, Pay for performance, Poison pills, Proxy advisors, Shareholder voting, Surveys Voting Rights and Index Inclusion Posted by BlackRock, Inc., on Thursday, November 9, 2017 Tags: Accountability, Capital structure, Control rights, Disclosure, Dual-class stock, Index funds, Institutional Investors, Long-Term value, Management, Securities regulation, Shareholder rights, Shareholder voting Governance… [read post]
8 May 2020, 5:58 am
Public Company Compensation Committees in Light of COVID-19 Posted by Lynda Galligan and Alexandra Denniston, Goodwin Procter LLP, on Friday, May 1, 2020 Tags: COVID-19, Disclosure, Equity-based compensation, Executive Compensation, Incentives, Management, Pay for performance, Performance measures, Repricings, Section 162(m), Stock options, Succession A New Era For Activist Defense: Going Beyond the Relics of the 80s… [read post]
17 Jul 2010, 3:00 am
I know that at the present time our stock market has been very volatile. [read post]
17 Jul 2010, 3:00 am
I know that at the present time our stock market has been very volatile. [read post]
12 Nov 2017, 12:41 pm
To date, SEC Chairman Jay Clayton has not confirmed or denied that the SEC is investigating those executives for insider trading, according to the Associated Press. [read post]
13 Oct 2008, 10:43 pm
Even if we assume that credit markets "unfreeze" and stock markets stabilize or increase, Mike Guttentag is right: "One of the consequences of the subprime meltdown and subsequent stock market decline this past week is certain: there will be a regulatory response. [read post]
19 Jun 2017, 3:13 am
As of today, Jay Clayton (R) is Chairman, with Kara M. [read post]
9 Apr 2018, 4:33 pm
Microcap, small-cap, and midcap stocks have just about disappeared from the U.S. exchanges. [read post]
3 Oct 2017, 10:24 am
On September 26, 2017, SEC Chairman Jay Clayton testified before the Senate’s Banking, Housing and Urban Affairs Committee regarding the direction of the SEC under his Chairmanship. [read post]
30 Mar 2021, 3:08 am
Some viewed them as a “capstone” to former SEC Chair Jay Clayton’s tenure. [read post]
28 Feb 2018, 1:21 pm
But the SEC Guidance also lists the following examples that are not found in the Corp Fin Guidance: Ransomware payments; Legal risks, including regulatory actions by state and federal governmental authorities and non-U.S. authorities; Increased insurance premiums; and Damage to the company’s competitiveness, stock price, and long-term shareholder value. [read post]
