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The WSJ is reporting that the SEC staff may issue guidance as early as this week to cause proxy advisory firms to disclose more information about potential conflicts of interests. Accordi...
In the past month, one rulemaking requirement was finalized and one rulemaking requirement was proposed.
As of June 2, 2014, a total of 280 Dodd-Frank rulemaking requirement deadlines ha...
Six governance groups, including the National Association of Corporate Directors, Tapestry Networks and the Center for Audit Quality, have issued a “call to action” urging companies t...
SEC Rules and Regulations
SEC Reopens Commenting Period on Target Date Funds
SEC Grants No-Action Relief to 403(b) Plans Investing as Qualified Purchasers
Industry Update
SEC Iss...
The Federal Reserve has issued a proposal to implement the financial sector concentration limit in Section 622 of the Dodd-Frank Act. The concentration limit generally prohibits a financi...
We all know that executive compensation information in proxy statements is getting longer, as a response to the say-on-pay vote. Recently, an E&Y report indicated that proxy statements o...
State Street Global Advisors’ (SSgA) 2014 voting policy on director tenure focuses on what it identifies as the need for “board refreshment.” The policy outlines situations that cou...
As expected, Senator Carl Levin and thirteen other Democratic Senators yesterday introduced a bill that would significantly limit, for a two-year period, the ability of U.S. corporations ...
The U.S. Court of Appeals for the Eleventh Circuit has defined, for the first time by a federal appellate court, a key statutory term in the U.S. Foreign Corrupt Practices Act (“FCPA”...
According to a recent speech by Chair White, one of the key decision points in nearly every enforcement action is who will be charged as a defendant. She disputed the notion that the SEC ...