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Searching Content indexed under Finance and Banking by Paul Bork 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
2
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
3
SEC Proposes Rules For Hedging Disclosure
The SECís proposed addition of Item 407(i) to Regulation S-K was mandated by the Dodd-Frank Act.
United States
20 Feb 2015
4
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
5
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
6
SECís 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 SECís scheme of disclosure "be modified or set aside, in whole or in part".
United States
30 Oct 2012
7
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
8
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
9
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
10
JOBS Act Client Alert Ė 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
11
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
12
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
13
Amendment to NYSE Rule 452 to Eliminate Broker Discretionary Voting on Executive Compensation Matters
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), on August 26, 2010 New York Stock Exchange LLC ("NYSE") filed a proposed rule change with the Securities and Exchange Commission (the "SEC") to prohibit NYSE member organizations from voting uninstructed shares if the matter voted on relates to executive compensation.
United States
30 Sep 2010
14
Dodd-Frank Financial Reform Act
In reviewing the recently enacted Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), we found two very different sections worthy of brief note.
United States
20 Aug 2010
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