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C-Suite Compensation Center: Tip Of The Week: Could A Stock-Price Forfeiture Provision Eliminate The Existence Of Substantially Underwater Stock Options
It is difficult for publicly-traded issuers to solve the problems associated with outstanding stock options that are "underwater" (i.e., underwater because the exercise price of the stock option...
United States
30 Oct 2018
2
FAST Act Amends JOBS Act And Creates New Private Resale Exemption
On December 4, 2015, President Obama signed into law the Fixing America's Surface Transportation Act (FAST Act), which includes important securities law changes and can be found here.
United States
23 Dec 2015
3
Nasdaq Issues Guidance On The Post-Market Close Release Of Material News
Nasdaq recently published guidance about when Nasdaq-listed issuers should issue material news releases around the regular market close at 4:00 p.m. Eastern Time (ET).
United States
2 Nov 2015
4
NASDAQ Amends Compensation Committee Independence Requirements
The NASDAQ Stock Market (NASDAQ) recently amended its listing rules on compensation committee independence that were adopted earlier this year to implement Rule 10C-1 of the Securities Exchange Act of 1934.
United States
2 Jan 2014
5
SEC Approves NYSE, NYSE MKT And NASDAQ Compensation Committee Listing Standards
The Securities and Exchange Commission has recently approved amendments to the compensation committee listing standards of the New York Stock Exchange, the NYSE MKT2 and the NASDAQ Stock Market that were initially proposed in September 2012 to comply with Rule 10C-1 of the Securities Exchange Act of 1934.
United States
28 Feb 2013
6
JOBS Act Update: SEC Issues New Guidance and Approves Amendments to FINRA Research Rules
The staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission (SEC) recently issued new frequently asked questions (Title I FAQs) regarding Title I of the Jumpstart Our Business Startups Act (JOBS Act).
United States
7 Nov 2012
7
NYSE, NYSE MKT And Nasdaq Propose Amendments To Compensation Committee Listing Standards
For Nasdaq-listed issuers without a formal compensation committee or compensation committee charter, consider how to put these items in place.
United States
25 Oct 2012
8
SEC Issues Guidance On JOBS Act Research Provisions
The staff of the SEC’s Division of Trading and Markets recently issued frequently asked questions providing guidance about provisions in Title I of the Jumpstart Our Business Startups Act.
United States
25 Sep 2012
9
SEC Proposes Amendments To Allow General Solicitation In Certain Private Offerings Pursuant To JOBS Act
The Securities and Exchange Commission (SEC) recently proposed amendments to Rules 506 and 144A under the Securities Act of 1933.
United States
25 Sep 2012
10
SEC Adopts Rules Implementing Dodd-Frank Requirements For Compensation Committees And Compensation Advisers
On June 20, 2012, the Securities and Exchange Commission (SEC) adopted rules to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act,1 which added Section 10C to the Securities Exchange Act of 1934 (Exchange Act).
United States
14 Jul 2012
11
SEC Offers Additional JOBS Act Guidance
The staff of the Securities and Exchange Commission’s Division of Corporation Finance (Staff) recently issued additional frequently asked questions (FAQs) providing guidance on questions raised under Title I (also known as the IPO on-ramp provisions) of the Jumpstart Our Business Startups Act (JOBS Act).
United States
23 May 2012
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