We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 15

Recent SEC actions on broker voting, executive stock options, compensation and corporate governance and shareholder access to proxy statements

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • July 10 2009

The Securities and Exchange Commission (SEC) recently approved a New York Stock Exchange (NYSE) proposal to eliminate broker discretionary voting for directors and a Chicago Board Options Exchange proposal related to stock options

Dodd-Frank And investment advisors

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • July 28 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act contains several provisions that will have a significant impact on investment advisors and removes some key exemptions from the requirement to register as an investment advisor

EPA makes it official: greenhouse gases threaten public health and welfare

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 11 2009

On December 7, 2009, the U.S. Environmental Protection Agency issued a final determination that officially declared six greenhouse gases are a threat to public health and welfare

Advance notice of rule making on use of credit ratings

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 13 2010

The Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation, issued an advance notice of rule making regarding alternatives to the use of credit ratings in the regulatory capital guidelines

FDIC announces open door policy for regulatory reform rulemaking

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 14 2010

The Federal Deposit Insurance Corporation on August 12, 2010 announced an open door policy that will make it easier for the public to give input and track the rulemaking process as the agency implements the Dodd-Frank Wall Street Reform and Consumer Protection Act

Comments on SEC study regarding obligations of brokers, dealers, and investment advisers

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 25 2010

In a recent posting we highlighted issues surrounding the imposition of a fiduciary standard on broker-dealers

SEC soon not to be free to keep certain information confidential

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 27 2010

One of the more controversial provisions of the Dodd-Frank Act allows information gathered by the SEC in its examination and investigation of those entities it regulates to not be subject to disclosure under the Freedom of Information Act

Sarbanes-Oxley prevents indemnification for clawback claims - Dodd-Frank implications

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 8 2010

Sarbanes-Oxley requires executives to reimburse their public company employers for bonuses and profits realized from the sale of company stock for the 12 month period following the filing of a false financial report that requires a financial statement restatement

Will whistleblower claims give rise to more SEC enforcement actions?

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 9 2010

The Dodd-Frank Act's whistleblower protection provisions will go into effect no later than nine months after July 22, 2010

Dodd-Frank vs. reality

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • January 3 2011

Last week the SEC "was persuaded" to extend the compliance date for Dodd-Frank Act's requirement that registered investment advisers provide their clients with brochure supplements written in plain English