Search for: "Troy A. Paredes"
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25 May 2011, 1:31 pm
" Commissioner Troy Paredes disagreed and did not think "that the final rule adequately preserves the important role that corporate compliance programs serve in ensuring that the law is complied with and that other misbehavior is deterred. [read post]
25 May 2011, 11:33 am
” Commissioner Troy Paredes shared Casey's concerns in voting against the rules, arguing that the final rule “unduly erodes the value of internal compliance programs. [read post]
9 May 2011, 8:00 am
The first presentation of the 43rd Annual Rocky Mountain Securities Conference was a presentation by Commissioner Troy Paredes of the Securities and Exchange Commission. [read post]
4 May 2011, 6:00 am
SEC Commissioner Troy A. [read post]
6 Apr 2011, 5:00 am
Bondi, a litigation partner at Cadwalader, Wickersham & Taft LLP and former counsel to SEC Commissioners Troy Paredes and Paul Atkins for enforcement matters. [read post]
18 Mar 2011, 6:00 am
Bondi, a litigation partner at Cadwalader, Wickersham & Taft LLP and former counsel to SEC Commissioners Troy Paredes and Paul Atkins for enforcement matters. [read post]
18 Mar 2011, 6:00 am
Bondi, a litigation partner at Cadwalader, Wickersham & Taft LLP and former counsel to SEC Commissioners Troy Paredes and Paul Atkins for enforcement matters. [read post]
3 Mar 2011, 11:41 am
The SEC voted to propose these rules with two dissenting votes, including the vote of Commissioner Troy Paredes. [read post]
1 Mar 2011, 12:00 am
He is the co-author, with the late Louis Loss and with Troy Paredes, of the 11-volume Securities Regulation, the leading treatise in the field, and author of The Transformation of Wall Street: A History of the Securities and Exchange Commission and Modern Corporate Finance. [read post]
18 Feb 2011, 1:29 pm
Casey, Troy A. [read post]
31 Jan 2011, 12:44 pm
Casey, Troy A. [read post]
27 Jan 2011, 1:32 am
SEC Commissioners Kathleen Casey and Troy Paredes share this view in their Statement Regarding Study on Investment Advisers and Broker-Dealers and emphasized the need for further research before any uniform fiduciary standard rulemaking begins. [read post]
25 Jan 2011, 11:13 am
” Commissioners Kathleen Casey and Troy Paredes dissented. [read post]
25 Jan 2011, 7:39 am
Kathleen Casey and Troy Paredes, the SEC's two Republican commissioners, voted against the final rules. [read post]
24 Jan 2011, 9:21 am
More specifically, the study said that the standard should provide that the broker or adviser must act in the best interest of the customer without regard to the financial or other interest of the broker or investment adviser providing the advice.In a separate statement, Commissioners Kathleen Casey and Troy Paredes opposing sending the staff study to Congress as drafted because it does not fulfill the mandate of Section 913 to evaluate the effectiveness of existing legal or… [read post]
20 Dec 2010, 7:39 am
Commissioner Troy Paredes was recused from participating in the mine safety and resource extraction proposals… Read this entire article for free, simply activate your free 15 day trial access to Securities Regulation & Law Report now. [read post]
27 Nov 2010, 12:42 pm
Commissioner Troy A. [read post]
19 Nov 2010, 2:40 pm
Paredes and Chair Mary Schapiro at the conference. [read post]
18 Nov 2010, 6:00 am
" 6:15 am Pacific: SEC Commissioner Troy A. [read post]
14 Oct 2010, 3:05 pm
: How Conflicts of Interest Erode Personal Responsibility in Government and Banking Moderator: Claire Hill 12:25 – 1:50 Lunch … [read post]
