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Searching Content indexed under Compliance by Paul Bork ordered by Published Date Descending.
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Supreme Court Invalidates SEC Expansion Of Who Can Be A Whistleblower Under Dodd-Frank Act
On Wednesday February 21, 2018, the United States Supreme Court rejected a Securities Exchange Commission regulation that sought to expand the definition of a whistleblower under the Dodd-Frank Act, and thereby resolved a split in the Circuit Courts.
United States
28 Feb 2018
2
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
3
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
4
Non-GAAP Financial Disclosures – Redux
Prefaced by public statements of SEC officials about improper use of non-GAAP financial measures, the Staff of the Division of Corporation Finance issued new and revised Compliance & Disclosure Interpretations...
United States
8 Jun 2016
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
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
7
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
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