Search for: "Richard Andrew Broker"
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11 Sep 2019, 8:58 am
District Judge Richard G. [read post]
11 Dec 2023, 10:19 am
Sources: SEC Chair Warns Against “AI Washing” By Kevin LaCroix in The D&O Diary SEC Chief Gensler Warns of AI ‘Herding Effect’ Leading to a Market Crash Proposed Rule: Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers Fact Sheet SEC Proposal on Predictive Data Analytics Lacks Statutory Authorization by Andrew Vollmer SEC Probes Investment Advisers’… [read post]
8 Apr 2010, 5:00 am
Dononhue, Director, Division of Investment Management, to Richard G. [read post]
3 Jun 2022, 8:59 am
These two brokers would then have to go to an ad exchange to facilitate the deal, bringing three different brokers into the mix. [read post]
7 Nov 2008, 5:35 pm
Richard Ferlauto, director of corporate governance and pension investment at the American Federation of State, County, and Municipal Employees, said Congress may include "say on pay" as part of a broader compensation reform bill. [read post]
16 Apr 2023, 9:01 pm
First, the proposal would require certain entities in the government securities markets known as interdealer brokers (IDBs) to comply with Regulation ATS and Regulation Systems Compliance and Integrity. [read post]
18 Jun 2021, 5:55 am
President Biden Signs Executive Order on Addressing Climate Change Risk through Financial Regulation Posted by Andrew Olmem, J. [read post]
16 May 2009, 1:28 pm
ASNP: 468B QSFs - Richard Risk and Jason Lazurus. [read post]
13 Oct 2020, 12:48 pm
Armenia and Azerbaijan accused each other of violating a ceasefire agreement brokered on Oct. 10, writes Reuters. [read post]
12 Aug 2008, 2:00 pm
Muselevich JJett Appraisals Appraisal - Residential / Commerical 3 Richard Maltz David R. [read post]
1 Jul 2009, 12:55 am
Judges also gave Attorney General Andrew M. [read post]
15 Feb 2023, 9:01 pm
The adoption will allow brokers to achieve these enhancements either through written agreements or through policies and procedures. [read post]
17 Jan 2024, 4:44 am
Andrew Solender reports for Axios. [read post]
24 Jun 2016, 6:31 am
Posted by David Larcker, Stanford University, on Monday, June 20, 2016 Tags: Agency costs, Boards of Directors, Compensation committees, Executive Compensation, Incentives, Long-Term value, Management, Pay for performance, R&D, Risk, Risk-taking, Shareholder value Venture-Backed IPOs in 2015 Posted by Richard C. [read post]
31 Aug 2010, 9:51 pm
(For more information on this session, see the presentation slides and a summary by Andrew McLennan-Murray.) [read post]
6 Oct 2010, 7:14 am
Roundtable Wendy Gordon, BU School of Law Laurence Kotlikoff, BU Economics Andrew Pitts, Cravath, Swaine & Moore Peter Rosenblum, Foley, Hoag James Post, BU School of Management Kenneth W. [read post]
20 Dec 2010, 12:59 pm
You should consult with your insurance broker or agent about workers comp issues. [read post]
22 Apr 2009, 2:05 am
Williams, a Sherman Oaks, Calif. broker, allegedly sold debentures and promissory notes issued by three funds he controlled, according to the SEC civil complaint filed April 20 in Los Angeles. [read post]
31 Jan 2009, 12:13 pm
" and Richard Risk's article titled "A Case for the Urgent Need to Clarify Tax Treatment of a Qualified Settlement Fund Created for a Single Claimant" ". [read post]
12 Dec 2017, 4:19 am
Georgia Regional Hospital comes from Greg Stohr at Bloomberg, Andrew Chung at Reuters, Adam Liptak for The New York Times, Richard Wolf for USA Today, Lyle Denniston at his eponymous blog, and Robert Barnes for The Washington Post, who reports that “the case at hand … had procedural problems that some argued made it a troublesome test case for the issue. [read post]
