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SEC Chairman Schapiro recently made a speech about corporate governance at the Transatlantic Corporate Governance Dialogue which provides some insight into upcoming SEC initiatives in thi...
For most companies 2011 was the first year for say-on-pay. The good news is that most emerged from the process unscathed. Only a relative handful (38 of the Russell 3000, including eight ...
During its 2012 North American Proxy Season review, proxy advisory services firm Glass Lewis looked back to the 2011 proxy season and also gave insights as to what we can expect from them...
The SEC staff has traditionally allowed non-U.S. issuers to file IPO or other first-time registration statements on a “draft” non-public basis, enabling them to avoid the scrutiny ass...
Industry Update
Treasury Department To Develop Anti-Money Laundering Rules for Investment Advisers
Proposed Treasury Regulations Clarify U.S. Taxation of Investments by Foreign Gov...
No New Deadlines. No new rulemaking requirements were due in November.
3 Requirements Proposed. Rules satisfying three rulemaking requirements were proposed this month. Two of the propos...
ISS has asked that we encourage interested parties to register for its free webinar to discuss its new proxy voting guidelines, which we recently summarized in a client publication. The ...
ISS’s annual policy update, released this month in anticipation of the 2012 proxy season, revises existing policies and adopts new ones to respond to current developments. The policy ch...
In what may be the first major decision this proxy season on shareholder proposals, the SEC staff has granted no-action letters to two companies, Hewlett-Packard Company and Deere & Compa...
SEC Rules and Regulations
SEC Adopts Private Fund Systemic Risk Reporting Rule
SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap P...