Search for: "Lowe v. SEC" Results 1 - 20 of 375
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2 Sep 2010, 5:01 pm by James Hamilton
In a comment letter to the SEC, SIFMA said that Dodd-Frank driven SEC regulations establishing a uniform federal fiduciary standard for brokers and advisers should be broadly guided by the dual principles of individual investor protection and individual investor choice. [read post]
25 Jun 2015, 4:45 am by Jeff Werbitt
Here’s an excerpt: According to Aon Hewitt’s annual survey on salaried employees’ compensation, the share of payroll budgets devoted to straight salary increases sank to a low of 1.8 percent in the depths of the recession. [read post]
30 Jul 2020, 6:22 am
The Resource Guide: Background Although the FCPA was enacted in 1977, the number of enforcement actions brought by DOJ and SEC remained relatively low for nearly 25 years. [read post]
18 Sep 2015, 5:18 pm by Sophia Cope
Related Issues: PrivacyLaw Enforcement AccessRelated Cases: Warshak v. [read post]
11 Aug 2021, 2:37 pm by Geoff Schweller
These laws are purely discretionary, do not allow for anonymous or confidential whistleblowing, and set mandatory caps as low as $2500. [read post]
25 Jan 2012, 11:03 am by William McGrath
The SEC's Memorandum in Koss Corporation seems low-key in comparison to the answers the SEC provided to the Judge's questions in Citigroup Global Markets. [read post]
3 Jul 2018, 11:14 am by Mike Delikat
” Uniform Definition of “Whistleblower” In the wake of Digital Realty Trust, Inc. v. [read post]
25 Jan 2016, 5:00 am by Randi Morrison
These include boards not prioritizing recruiting diverse candidates; few women in the traditional pipeline to board service—with CEO or board experience; and low turnover of board seats Most stakeholders interviewed supported improving SEC disclosure requirements on board diversity. [read post]