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Results: 1-10 of 248

First proxy access proposal reported filed

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • November 15 2011

According to the ISS blog, the first proxy access proposal was filed with MEMC Electronics

Nasdaq proposes listed companies have internal audit function

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • March 5 2013

The SEC has published for comment Nasdaq's rule proposal that Nasdaq listed companies have an internal audit function. The rule proposal is as

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

  • Leonard, Street and Deinard
  • -
  • 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

New tools for activist investors

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • April 15 2009

A number of present and anticipated developments will give activist investors new tools to carry on campaigns against public companies

What does a clawback policy look like?

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • August 9 2010

Section 954 of the Dodd-Frank Act requires national securities exchanges (meaning for instance, the NYSE, Amex and Nasdaq) to adopt rules as directed by the SEC, which rules will require issuers to develop and implement a policy providing:for disclosure of an issuer's policy on incentive compensation that is based on financial information required to be reported under securities laws; and that, if an accounting restatement is prepared, the issuer will recover any excess incentive-based compensation from any current or former executive officer who received such incentive-based compensation in the three preceding years

SEC proposes say-on-pay rules

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • October 18 2010

The SEC has proposed amendments (Release No. 33-9153) to its rules to implement the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to shareholder approval of executive compensation arrangements

Whistleblowers, Dodd-Frank and Sarbanes-Oxley

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • August 5 2010

The Dodd-Frank Act and the Sarbanes-Oxley Act both have provisions for whistleblowers

Treasury official discusses path forward on financial reform

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • August 11 2010

Michael Barr, Treasury Assistant Secretary for Financial Institutions, outlined the path forward for implementing the Dodd-Frank Act on August 10, 2010

More on the SEC's prior proxy access proposal

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • August 11 2010

Jill covered some of the basic points of the SEC's prior proposal on proxy access here

Dodd-Frank and Minnesota investment advisers

  • Leonard, Street and Deinard
  • -
  • USA
  • -
  • August 6 2010

Before enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the following rules applied under the Investment Advisers Act of 1940

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