Searching Content indexed under Finance and Banking by Dean Hanley ordered by Published Date Descending.
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New Nasdaq Rule Requires Disclosure Of Third Party Compensation Of Directors And Nominees
Effective August 1, 2016, companies listed on Nasdaq are subject to a new rule requiring annual disclosure of the material terms of agreements or arrangements between directors or director nominees and third parties that relate to compensation or other payment in connection with that person's candidacy or service as a director.
United States
9 Sep 2016
How The FAST Act Will Impact Securities Laws
On December 4, 2015, the Fixing America's Surface Transportation Act (the FAST Act) was signed into law.
United States
18 Jan 2016
SEC Proposes Rules For Hedging Disclosure
The SEC’s proposed addition of Item 407(i) to Regulation S-K was mandated by the Dodd-Frank Act.
United States
20 Feb 2015
SEC Proposes New Exchange Act Registration Thresholds And Changes To Certain "Held Of Record" Definitions
On December 18, 2014, the Securities and Exchange Commission proposed new rules regarding the thresholds at which issuers may become reporting companies under Section 12(g) of the Securities Exchange Act of 1934...
United States
16 Jan 2015
SEC Issues Interpretive Advice About Verification Safe Harbors Under Rule 506(c)
The availability of the private placement exemption depends in large measure upon determinations that purchasers are "accredited investors" under the rules. are "accredited investors" under the rules.
United States
23 Jul 2014
SEC’s Conflict Minerals Rule Challenged
On October 19, 2012, the National Association of Manufacturers and the U.S. Chamber of Commerce petitioned the D.C. Circuit Court of Appeals to request that the SEC’s scheme of disclosure "be modified or set aside, in whole or in part".
United States
30 Oct 2012
U.S. Chamber Of Commerce Sues SEC To Overturn Controversial Dodd-Frank Resource Extraction Rule
Under the new Rule, issuers must disclose all payments (or aggregation of related payments) of $100,000 or more to foreign (and U.S.) governments for such activities.
United States
22 Oct 2012
NYSE And NASDAQ Propose Listing Standards For Compensation Committees And Compensation Advisers
The New York Stock Exchange and the NASDAQ Stock Market proposed rule changes to their respective listing standards affecting public company boards of directors.
United States
15 Oct 2012
SEC Adopts Rules Requiring Listing Standards For Compensation Committees And Compensation Advisers
On June 20, 2012 the Securities and Exchange Commission adopted rules under the Securities Exchange Act of 1934.
United States
4 Jul 2012
JOBS Act Client Alert – Rules 506 Of Regulation D And 144A
The JOBS Act (the "Act"), signed into law on April 5, 2012, promises to have a significant impact on two popular exemptions to registration of securities under federal securities laws.
United States
11 Jun 2012
JOBS Act Establishes New Thresholds For Registration Under The Exchange Act
On April 5, 2012, the JOBS Act was signed into law.
United States
8 Jun 2012
SEC Stays Effectiveness of Proxy Access Rule
On October 4, 2010, the SEC stayed the effectiveness of its recently adopted Proxy Access Rules (Rule 14a-11, and complementary amendments to Rule 14a-8, under the Securities Exchange Act of 1934) during the pendency of litigation attacking the adoption of the rules.
United States
12 Oct 2010
The Dodd-Frank Act: Non-Binding "Say-on-Pay" at Public Companies
Among the many elements of the massive Dodd-Frank Wall Street Reform and Consumer Protection Act are provisions applicable to public companies requiring defined "say-on-pay" votes.
United States
26 Jul 2010
SEC Adopts Enhanced Proxy Statement Disclosures Focusing On Compensation And Governance
The Securities and Exchange Commission has adopted a number of new rules that will affect public company disclosures in the areas of compensation, director qualifications and suitability, corporate governance and reporting of the results of shareholder meetings.
United States
5 Mar 2010
Securities And Exchange Commission Publishes Its Interpretive Release On Climate Change Related Disclosures
In early February, the Securities and Exchange Commission published an interpretive release (Release Nos. 33-9106 and 34-61469) about public company disclosures related to climate change.
United States
15 Feb 2010
SEC To Require Companies To Disclose Global Warming Risks
The U.S. Securities and Exchange Commission (SEC) issued interpretive guidance yesterday which requires publicly traded companies to consider the impacts of climate change – both the physical damage it could cause, as well as the economic impacts of domestic and international greenhouse gas emissions-reduction rules – and disclose those risks to investors.
United States
3 Feb 2010
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