Search for: "Rick A. Fleming"
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14 Dec 2023, 3:00 am
“Exchanges are supposed to be gatekeepers and list only bona fide companies that have investor interest,” said Rick Fleming, a former SEC investor advocate. [read post]
9 Jun 2022, 9:01 pm
Before I leave you, I want to give my thanks to a special member of today’s audience, our Investor Advocate and a member of the IAC, Rick Fleming. [read post]
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]
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]
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]
26 Dec 2021, 9:05 pm
Fleming and Alexander M. [read post]
21 Oct 2021, 6:35 am
SEC Investor Advocate Rick Fleming also has spoken on the question of whether gamification features in trading platforms could rise to the level of a recommendation under Regulation Best Interest.A market structure item at the proposed rule stage would address “payment for order flow, best execution (amendments to Rule 605), market concentration” and other matters. [read post]
30 Jun 2021, 11:05 am
Yesterday, Chair Gary Gensler and Investor Advocate Rick Fleming hosted a roundtable discussion with the students and faculty of the University of Texas at Arlington's Department of Finance and Real Estate. [read post]
25 Apr 2021, 9:03 pm
Fleming and Alexandra M. [read post]
31 Mar 2021, 9:11 am
For example, the SEC’s Investor Advocate, Rick Fleming, said in the Investor Advocate’s FY20 activities report that the Biden Administration should consider invoking the CRA or conduct new rulemakings to overturn or reverse four Clayton-era rulemakings, including the shareholder proposals rulemaking. [read post]
15 Jan 2021, 5:58 am
Bell, Fenwick & West LLP, on Saturday, January 9, 2021 Tags: Board composition, Boards of Directors, California, Classified boards, Diversity, Dual-class stock, Majority voting, Ownership, Shareholder voting, Staggered boards, State law, Surveys Office of Investor Advocate Report on Activities Posted by Rick Fleming, U.S. [read post]
9 Jan 2021, 8:03 am
Posted by Rick Fleming, U.S. [read post]
8 Jan 2021, 3:02 am
In the year-end report on the activities of the Office of the Investor Advocate (which is required to be delivered to committees in the House and Senate), Rick Fleming also called for the SEC to reverse several of its own rules, including: – Rule 14a-8 Amendments – arguing the rules diminish the ability of shareholders with smaller investments to submit proposals and disagreeing with the economic analysis in the rulemaking – Proxy Advisor Rules – saying… [read post]
3 Apr 2020, 4:14 pm
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]
24 Feb 2020, 9:03 pm
Amazon Studios has set up a film adaption of the story, titled “Sheela,” per Mike Fleming Jr. with Deadline. [read post]
18 Nov 2019, 3:09 am
In a recent speech, the SEC’s “Investor Advocate” – Rick Fleming – even acknowledged that investors are part of the problem – but also called for heightened SEC disclosure requirements for dual-class shares and intervention from stock exchanges. [read post]
8 Nov 2019, 3:00 am
Fleming do. [read post]
18 Oct 2019, 6:14 am
Fleming, U.S. [read post]
17 Oct 2019, 6:31 am
Posted by Rick A. [read post]
