Search for: "Lee v. Hester"
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12 Feb 2021, 11:24 am
OFS Securities, Inc. and Oriental Financial Services Corp., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
16 Dec 2022, 6:30 am
Borak, Lee v. [read post]
16 Dec 2022, 6:30 am
Borak, Lee v. [read post]
13 Mar 2020, 6:31 am
Potential Impact of New SEC Guidance on Performance Metrics on Disclosure of ESG Metrics Posted by Lee T. [read post]
16 Jul 2021, 6:19 am
Posted by Brian V. [read post]
24 Dec 2021, 6:26 am
., on Friday, December 17, 2021 Tags: Asset management, Board oversight, Boards of Directors, ESG, Institutional Investors, Risk management, Shareholder activism, Shareholder proposals, Shareholder voting Statement by Commissioner Peirce on Rule 10b5-1 and Insider Trading Posted by Hester M. [read post]
13 Mar 2020, 3:00 am
” Basic Inc. v. [read post]
27 Jul 2010, 2:56 pm
In that context, the sanction was tantamount to a discharge [Hester v. [read post]
9 Aug 2021, 3:30 am
Circuit’s decision in Susquehanna International Group LLC v. [read post]
10 Oct 2010, 7:45 pm
LaSameuel Lee Gamble, 2010 Ala. [read post]
13 Dec 2011, 12:10 pm
S. 563 (1927); Hester v. [read post]
8 Oct 2020, 3:03 am
” In her statement in support of the proposal, Commissioner Hester M. [read post]
26 Sep 2019, 11:10 pm
Newville and Alexandra V. [read post]
15 Nov 2019, 6:17 am
Haan (Washington and Lee University), on Tuesday, November 12, 2019 Tags: Corporate Social Responsibility, Legal history, No-action letters, Rule 14a-8, SEC, Securities regulation, Shareholder activism, Shareholder proposals, Shareholder rights, Shareholder voting, Stakeholders, Supreme Court The 2019 CPA-Zicklin Index of Corporate Political Disclosure and Accountability Posted by Bruce F. [read post]
25 Mar 2022, 5:48 am
Liu, Dechert LLP, on Friday, March 18, 2022 Tags: Class actions, Compliance and disclosure interpretation, Cryptocurrency, Foreign issuers, International governance, Securities fraud, Securities litigation Special Committee Report Posted by Gregory V. [read post]
15 Dec 2023, 4:15 pm
Sandford, and Plessy v. [read post]
24 Oct 2010, 9:05 pm
Ricky Lee Earp v. [read post]
13 Feb 2023, 7:28 am
By Mark S. [read post]
12 Apr 2019, 6:20 am
Securities and Exchange Commission, on Wednesday, April 10, 2019 Tags: Accountability, No-action letters, Public interest, SEC, Securities regulation, Transparency Executive Long-Term Incentive Plans Posted by Joseph Kieffer, Equilar Inc., on Thursday, April 11, 2019 Tags: Compensation ratios, Equity-based compensation, Executive Compensation, Incentives, Management, Pay for performance The SEC v. [read post]
16 Apr 2021, 5:51 am
Llewellyn, Fenwick & West LLP, on Sunday, April 11, 2021 Tags: Board composition, Boards of Directors, California, Diversity, ESG, Human capital, Management, Tech companies Supreme Court to Weigh in on Presumption of Reliance in Securities Class Actions: Goldman Sachs v. [read post]
