Search for: "Lowe v. SEC" Results 1 - 20 of 490
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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 Jan 2011, 8:00 am by J Robert Brown Jr.
"   The sentence was written before the adoption of Dodd-Frank and the decision to give the SEC control over the compensation committee, shareholders the right to an advisory vote on compensation, and the SEC the clear regulatory authority to adopt an access rule. [read post]
18 Sep 2015, 5:18 pm by Sophia Cope
Related Issues: PrivacyLaw Enforcement AccessRelated Cases: Warshak v. [read post]