Searching Content indexed under Compliance by Dean Hanley ordered by Published Date Descending.
Links to Result pages
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
Proposed SEC Amendment Could Reduce Compliance Costs For Smaller Public Companies
Under a mandate from Congress under the Fixing America's Surface Transportation (FAST) Act of 2015, the SEC recently proposed an amendment to the definition of "smaller reporting company".
United States
16 Aug 2016
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
Federal Appeals Court Largely Upholds Conflict Minerals Rules
The D.C. Circuit issued its much anticipated decision regarding the challenge to the Securities and Exchange Commission’s Conflict Minerals Rules.
United States
29 Apr 2014
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
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 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
Links to Result pages