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The Financial Industry Regulatory Authority recently issued two Regulatory Notices concerning algorithmic trading as part of a larger package of market structure initiatives. The first R...
A Towers Watson survey found that only about 27% of Fortune 500 companies provided some type of pay-for-performance discussion in 2014. Only 4% of companies added new disclosure, while 5%...
On March 31, 2015, the Internal Revenue Service published final regulations under Section 162(m) of the Internal Revenue Code. The final regulations clarify two requirements for exception...
The SEC, which has recently been investigating workplace agreements out of concern that they may impede whistleblowing activity protected by the Dodd-Frank Act, announced yesterday its fi...
In the past quarter, no rulemaking requirement deadlines passed, four rulemaking requirements were finalized and two rulemaking requirements were proposed.
As of the end of the first qua...
The SEC charged that the former CEO of Polycom used corporate funds to pay for about $190,000 of personal perks for several years that were not disclosed. During that time, the CEO’s to...
T. Rowe Price’s proxy voting policies explains that its Proxy Committee develops the firm’s positions on major proxy voting issues. The Proxy Committee comprises portfolio managers, ...
On March 25, 2015, the SEC adopted amendments to Regulation A, a Securities Act exemption forofferings by nonpublic US and Canadian companies. The final rules (colloquially called “Regu...
According to a recent speech by PCAOB board member Jay Hanson, the PCAOB is evaluating the comments they have received on their proposal to add a discussion of “critical audit matters?...
SEC Rules and Regulations
SEC Extends Rule 482 No-Action Position to Certain Information Furnished to Participants and Beneficiaries in Certain Non-ERISA Retirement Savings Plans
Indust...