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ISS has issued the results of its recent survey on corporate governance. The responses will form the basis for policy changes affecting the 2013 proxy season. Perhaps reflecting concern...
On September 25, 2012, both the NYSE and Nasdaq proposed listing standards to implement the SEC’s requirements regarding the independence of compensation committees and their advisers. ...
As of October 1, 2012, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 149 (62.9%) have been missed and 88 (37.1%) have been met wit...
The NYSE has published an updated rule filing submitted to the SEC on the recent proposed listing standards related to compensation committees. The rule filing notes that Amendment No. ...
Many companies voluntarily impose a “blackout period” beginning around the time a quarter ends and continuing through the quarter’s earnings announcement or subsequent 10-Q or 10-K ...
The Federal Trade Commission (“FTC”) yesterday fined Biglari Holdings, Inc., a publicly traded diversified holding company (“Biglari”), $850,000 to settle allegations that it viol...
SEC Rules and Regulations
SEC Issues Proposal to Eliminate General Solicitation Ban
SEC Staff Responds to a Question About Preserving Client Anonymity on Item 7.B. of Form ADV
Indu...
We just discussed the NYSE’s proposed standards applicable to compensation committee members and their advisers, which closely follow the SEC final rules. Nasdaq has posted its proposed...
The NYSE has posted its proposed filing with the SEC to implement the SEC rules for compensation committees and advisers. We are preparing a client memorandum to describe the standards in...
Less attention is paid to shareholder proposals during the summer months, which is when Norges Bank Investment Management (NBIM) submitted a series of proposals seeking independent chairm...