Quantcast
Channel: From The Sox Up » Dodd-Frank Act
Browsing all 10 articles
Browse latest View live

Proxy Access–Dead for Now

We posted on Jul. 29, 2011 that the U.S. Court of Appeals for the District of Columbia had vacated the SEC’s proxy access rule.  SEC Chairman Mary L. Schapiro confirmed on Sep. 6, 2011 that the SEC...

View Article



Still More on Proxy Access

We recently commented on the SEC’s decision not to challenge the court ruling vacating its proxy access rule.  The Council of Institutional Investors had quickly registered its disappointment.  Global...

View Article

SEC Takes a Look at Capital Raising

We reported in May 2011 about the future of capital formation—through testimony by the SEC Chairman before a Congressional committee and the Committee Chairman’s comments.  At the time Chairman...

View Article

SEC Adopts Amendments to Its Accredited-Investor Net-Worth Standard

The Securities and Exchange Commission announced on Dec. 21, 2011 that it has adopted amendments to its rules regarding the net-worth standard (PDF) for determining an individual “accredited investor”...

View Article

Say on Pay: A Practice Pointer

This week, the SEC released a new Compliance and Disclosure Interpretation (“C&DI”) for Exchange Act Rule 14a-21.  This rule sets forth one of the say-on-pay requirements mandated by the Dodd-Frank...

View Article


Time to Consider Application of the Conflict Minerals Rule

The Securities and Exchange Commission’s Conflict Minerals Rule, Rule 13p-1 (.PDF), mandated by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which added Section 13(p)...

View Article

Compensation Consultant Conflict Disclosure

A public company preparing, or beginning to prepare, the proxy statement for its 2013 annual shareholders’ meeting should be aware (or be reminded) of a new disclosure requirement adopted by the...

View Article

Say-On-Pay and Say-On-Frequency Votes for Smaller Reporting Companies

About two years ago, the Securities and Exchange Commission adopted rules implementing provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (.PDF) that require public companies...

View Article


NASDAQ’s Final Rules on Independence Regarding Compensation Committees

The Securities and Exchange Commission recently approved the NASDAQ listing rules (.PDF) to comply with the SEC’s Rule 10C-1 under the Securities Exchange Act of 1934, as amended.  Rule 10C-1 (.PDF)...

View Article


SEC Adopts Final Rules Allowing General Solicitation and Advertising in...

On July 10, 2013, the U.S. Securities and Exchange Commission adopted significant amendments (PDF) to the private placement rules which will permit general solicitation and advertising in private...

View Article
Browsing all 10 articles
Browse latest View live




Latest Images