Search for: "Rick A. Fleming"
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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]
13 Dec 2006, 7:17 pm
Adams, Thelma Adams, Tracy Adams, Rachna Aggarwal, Vikas Aggarwal, Tony Albano, Richard J Alberigi, Rick Alberigi, Raoul Alfonzo, Mike Aliscad, Christopher Allen, Eugene Allen, Glenn Allen, Nicole Allen, Peter Allen, Craig Almand, Kendra K. [read post]
2 Apr 2019, 8:11 am
NASAA’s supporters (including the SEC’s Investor Advocate Rick Fleming) and the law scholar supporters (including Rochester University Professor and Wolters Kluwer securities treatise writer Joel Seligman) emphasized slightly different points to support the court of appeals’ decision. [read post]
13 Oct 2017, 7:13 am
”The SEC’s Investor Advocate, Rick Fleming, asked specifically how the securities markets would change under distributed ledger technology. [read post]
6 Feb 2015, 1:46 pm
Aguilar and Investor Advocate, Rick A. [read post]
6 Feb 2015, 1:46 pm
Aguilar and Investor Advocate, Rick A. [read post]
18 Oct 2019, 6:14 am
Fleming, U.S. [read post]
9 Nov 2017, 3:18 am
Many others at the SEC, including Rick Fleming, our Investor Advocate, and the Office of Investor Education and Advocacy, concentrate on retail investors generally and have outreach efforts focused on investors who are teachers, students, serve in the military, or live in retirement communities. [read post]
2 Mar 2018, 6:09 am
Fleming, U.S. [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]
26 Apr 2019, 5:55 am
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]
2 Dec 2016, 1:01 am
Fleming, U.S. [read post]
1 Nov 2009, 4:30 pm
Fitzgarrald, Director of Marketing, Greenberg Glusker Andrew Fleming, Senior Partner, Business Law Group, Ogilvy Renault LLP Kathleen A. [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]
26 Sep 2018, 2:05 pm
In 2016, then-NSA Deputy Director Rick Ledgett said that the world was growing “dimmer,” but not “dark. [read post]
29 Apr 2018, 3:03 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]
28 Jul 2011, 7:17 am
In reverse chronological order… 10:04 P.M. [read post]
11 Mar 2009, 12:06 pm
Fleming General Counsel Office of the Securities Commissioner 618 S. [read post]
26 Dec 2021, 9:05 pm
Fleming and Alexander M. [read post]
