Search for: "Rick A. Fleming"
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31 May 2022, 3:05 am
One thing that Rick Fleming has not been during his tenure is a shrinking violet. [read post]
27 May 2022, 8:20 am
The Securities and Exchange Commission today announced that Investor Advocate Rick A. [read post]
13 Feb 2014, 2:51 pm
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
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]
28 Mar 2015, 7:05 am
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 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]
2 May 2022, 6:51 am
By John Filar AtwoodSEC Investor Advocate Rick Fleming has asked the NYSE and Nasdaq to join the Commission in enhancing protections surrounding special purpose acquisition companies (SPACs) by putting in place tougher listing standards for SPACs. [read post]
17 Mar 2015, 9:33 am
A speech from the SEC’s Investor Advocate, Rick A. [read post]
8 Nov 2019, 3:00 am
Fleming do. [read post]
19 Sep 2011, 7:54 pm
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
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
McNeil will report to Rick Fleming, the first head of the SEC’s Office of the Investor Advocate. [read post]
27 Feb 2018, 8:30 am
Posted by Rick A. [read post]
29 Nov 2016, 1:06 am
Posted by Rick A. [read post]
17 Oct 2019, 6:31 am
Posted by Rick A. [read post]
21 Apr 2019, 6:55 am
Posted by Rick A. [read post]
9 Jan 2021, 8:03 am
Posted by Rick Fleming, U.S. [read post]
11 Jun 2012, 7:22 am
Environmental Protection Agency Region IV Administrator Gwendolyn Keyes Fleming. [read post]
2 May 2022, 3:32 am
In case all that still isn’t enough to dampen enthusiasm, SEC Investor Advocate Rick Fleming also recently contacted the Nasdaq and NYSE to urge more stringent listing standards for SPACs. [read post]
11 Sep 2017, 6:52 am
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]
