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Searching Content indexed under Fund Management/ REITs by Paul Bork ordered by Published Date Descending.
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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
2
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
3
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
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