Search for: "Rick A. Fleming"
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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]
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]
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]
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]
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]
13 Feb 2014, 3:51 am
Rick Fleming is moving over from NASAA (the state securities regulators association) where he serves as Deputy General Counsel. [read post]
6 Jan 2016, 8:20 am
By Lene Powell, J.D.In the guise of a comment letter on a BATS proposal to strengthen its authority to combat disruptive trading, a commenter pretending to represent a fictional proprietary trading firm pilloried SEC Investor Advocate Rick Fleming on the subject of high-frequency trading. [read post]
23 Dec 2014, 7:19 pm
On February 24, 2014, SEC Chair Mary Jo White appointed Rick A. [read post]
19 Mar 2012, 5:26 pm
Fleming at rf@nasaa.org on or before Monday, May 21, 2012. [read post]
11 Mar 2015, 4:00 am
” Usability Study: Investors Frustrated With Disclosure Add this blog by Davis Polk’s Ning Chiu to the one I recently posted on our “Proxy Season Blog”… The SEC’s Investor Advocate Wants Layered Disclosure & Structured Data The SEC’s relatively new Investor Advocate – Rick Fleming – delivered his first speech, describing his office’s role and providing a view about how companies can make their disclosure more… [read post]
27 Feb 2018, 4:40 pm
In a February 24, 2018 speech, Rick Fleming, Investor Advocate at the SEC, called mandatory arbitration of shareholder claims “an illusory remedy. [read post]
14 Jul 2008, 5:12 pm
I recently added a new patent blog to my reading list: the Patent Appeal Tracer, by Cleveland lawyer Kyle Fleming. [read post]
24 Aug 2010, 4:12 pm
Fleming John DeGroote Kent B. [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]
13 Sep 2018, 12:50 pm
Tax Policy Workshop (Fall 2018): Thursday September 13, 2018Ajay Mehotra (Northwestern, and American Bar Foundation):The VAT Laggard: A Comparative History of US Resistance to the VAT(co-sponsored with BC Legal History Workshop) Tuesday November 6, 2018Andrew Hayashi (UVA): title TBD Tuesday Nov. 13, 2018Cliff Fleming (BYU): title TBD Tuesday November 27, 2018Emily Satterthwaite (University of Toronto): title TBD (co-sponsored with BC Regulation and Markets Workshop) Regulation and… [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]
29 Sep 2015, 5:00 am
Fleming, SEC Investor Advocate Tamar Frankel, Professor of Law, Boston University School of Law Thomas P. [read post]
6 Jun 2019, 3:00 am
Sources: Form CRS Relationship Summary; Amendments to Form ADVRegulation Best Interest: The Broker-Dealer Standard of ConductCommission Interpretation Regarding Standard of Conduct for Investment AdvisersCommission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion from the Definition of Investment AdviserStatement Regarding the SEC’s Rulemaking Package for Investment Advisers and Broker-Dealers – Rick Fleming, Investor… [read post]
25 Apr 2021, 9:03 pm
Fleming and Alexandra M. [read post]
