Search for: "Rick A. Fleming" Results 1 - 20 of 50
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
13 Feb 2014, 2:51 pm by Eric C. Chaffee
The National American Securities Administrators Association also has issued a press release because of Fleming's previous role with that entity. [read post]
18 Feb 2014, 10:57 am by David Keenan
Though investors might have assumed that the entire Securities and Exchange Commission was their advocate to begin with, on February 12th the agency announced that it had hired Rick Fleming to be its very first Investor Advocate in the recently created Office of the Investor Advocate (“OIA”). [read post]
26 Feb 2018, 3:29 am
Mandatory Arbitration: An Illusory Remedy for Public Company Shareholders (Speech at PLI’s The SEC Speaks in 2018 by Rick A. [read post]
28 Mar 2015, 7:05 am by John Jascob
Jascob, J.D.NASAA has announced that SEC Investor Advocate Rick Fleming will keynote NASAA’s 30th Annual Public Policy Conference next month in Washington, D.C. [read post]
23 Feb 2016, 7:24 am by John Jascob
By Jacquelyn LumbIn remarks at the Practising Law Institute’s SEC Speaks conference, Investor Advocate Rick Fleming warned about a downward drift in the exchanges’ listing standards since they became for-profit businesses. [read post]
17 Nov 2015, 7:27 am by Doug Cornelius
Rick Fleming, Director of the Office of Investor Advocate at the Securities and Exchange Commission, started with a keynote. [read post]
17 Mar 2015, 9:33 am by Andrew Abramowitz
A speech from the SEC’s Investor Advocate, Rick A. [read post]
19 Sep 2011, 7:54 pm by Susan I. Nelson
Texas Tribune by Jay Root Tea Party leaders confronted Rick Perry in his own back yard Monday, calling on him to use his power as Texas governor to crack down on illegal immigration. [read post]
15 Mar 2018, 8:48 am by The Ansara Law Firm
Rob Bradley, R-Fleming Island, allowing it to stall in his committee for well over a month. [read post]
8 Sep 2014, 10:09 am by Tom Kosakowski
McNeil will report to Rick Fleming, the first head of the SEC’s Office of the Investor Advocate. [read post]
24 Feb 2020, 9:03 pm by Jonan Pilet
Amazon Studios has set up a film adaption of the story, titled “Sheela,” per Mike Fleming Jr. with Deadline. [read post]
11 Sep 2017, 6:52 am by John Jascob
Academicians from Ohio State University, New York University, and the University of Maryland discussed the available research on ETPs’ effect on the financial markets, followed by a panel discussion on their implication for investors led by Investor Advocate Rick Fleming. [read post]
3 Apr 2020, 4:14 pm by John Jascob
Rick Fleming, the SEC’s Investor Advocate and a member of the IAC, said that his office has been hearing from retail investors, including some who want to ban short-selling or reinstate the uptick rule. [read post]
13 Feb 2014, 3:51 am by Broc Romanek
Rick Fleming is moving over from NASAA (the state securities regulators association) where he serves as Deputy General Counsel. [read post]