Search for: "SEC v. Lowe" Results 1 - 20 of 519
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
13 Feb 2024, 9:05 pm by renholding
  Some lawsuits may be low-odds rolls of the dice by well-funded trade groups. [read post]
9 Nov 2023, 9:01 pm by renholding
However, when there is a low threshold to launching an investigation that lacks sufficient guardrails, the potential for abuse increases. [read post]
2 Sep 2010, 5:01 pm by James Hamilton
In a comment letter to the SEC, SIFMA said that Dodd-Frank driven SEC regulations establishing a uniform federal fiduciary standard for brokers and advisers should be broadly guided by the dual principles of individual investor protection and individual investor choice. [read post]
25 Jun 2015, 4:45 am by Jeff Werbitt
Here’s an excerpt: According to Aon Hewitt’s annual survey on salaried employees’ compensation, the share of payroll budgets devoted to straight salary increases sank to a low of 1.8 percent in the depths of the recession. [read post]
30 Jul 2020, 6:22 am
The Resource Guide: Background Although the FCPA was enacted in 1977, the number of enforcement actions brought by DOJ and SEC remained relatively low for nearly 25 years. [read post]