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

Leonard, Street and Deinard
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USA
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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

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

Leonard, Street and Deinard
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USA
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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

Dodd-Frank And investment advisors

Leonard, Street and Deinard
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USA
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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

Advance notice of rule making on use of credit ratings

Leonard, Street and Deinard
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USA
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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

Leonard, Street and Deinard
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USA
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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

SEC publishes golden parachute rule release

Leonard, Street and Deinard
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USA
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October 19 2010

Yesterday, as part of its "Say on Pay" rulemaking proposals, the SEC released its proposed rules for disclosure of golden parachute arrangements in the transactional context in which proxies are solicited

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

Leonard, Street and Deinard
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USA
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August 25 2010

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

FINRA ups the retail customer disclosure ante

Leonard, Street and Deinard
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USA
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October 28 2010

The Dodd-Frank Act clearly emphasized the need to clarify the ongoing confusion, especially in the eyes of the retail investing public, of the distinctions between broker-dealers and investment advisers

Dodd-Frank vs. reality

Leonard, Street and Deinard
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USA
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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

SEC soon not to be free to keep certain information confidential

Leonard, Street and Deinard
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USA
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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

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