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New Item 16 in the Form 10-K would expressly allow issuers to do something that is already permissible – provide a summary in the Form 10-K.
Each summary topic must be hyperlinked (a ...
In a strongly worded statement, Gary Retelny, President and CEO of ISS, testified before the House Committee on Financial Services about the Proxy Advisory Firm Reform Act. We previously ...
On June 1, 2016, the United States Court of Appeals for the Second Circuit held that federal courts do not have jurisdiction to hear constitutional challenges to ongoing Securities and Ex...
As public company governance remains in the spotlight, we examined the governance structures of the 50 largest U.S. newly public companies at the time of their initial offerings. Our sur...
On April 8, 2016 the Department of Labor published controversial final rules significantly expanding the definition of a fiduciary with respect retirement plan accounts for the purposes o...
With ongoing pressure on companies that are past the IPO stage to update or modify their corporate governance practices to align with the views of some shareholders and proxy advisory fir...
The prepared statement on the Proxy Advisory Firm Reform Act by the CEO of Glass Lewis, KT Rabin, before the Subcommittee on Capital Markets and Government Sponsored Enterprises, explains...
On May 6, 2016 the Securities and Exchange Commission (“SEC”) joined the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal D...
SEC Rules and Regulations
SEC Proposes Higher Net Worth Threshold for Qualified Clients under the Advisers Act
SEC Staff Grants No-Action Relief under Section 206(3) of the Advisers Act ...
On May 23, 2016, the United States Court of Appeals for the Second Circuit reversed a $1.3 billion civil penalty imposed against Countrywide Home Loans, Inc., Bank of America, N.A., and r...