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SEC increases oversight of credit rating agencies

Katten Muchin Rosenman LLP
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USA
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September 25 2009

On September 17, the Securities and Exchange Commission adopted and proposed rules to strengthen SEC oversight of the 10 credit rating agencies currently registered as Nationally Recognized Statistical Rating Organizations (NRSROs

New rules governing securities trading by SEC personnel

Katten Muchin Rosenman LLP
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USA
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May 29 2009

Following disclosure of inappropriate trading in public company securities by two veteran Securities and Exchange Commission staff members, on May 22 the SEC announced a series of measures to strengthen its rules relating to securities trading by SEC employees

NYSE temporarily lowers certain compliance standards for continued listing

Katten Muchin Rosenman LLP
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USA
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June 5 2009

On May 12, the New York Stock Exchange LLC filed an immediately effective rule amendment with the Securities and Exchange Commission that temporarily reduced from $75 million to $50 million the 30 trading day average market capitalization and stockholders’ equity requirements for continued listing of certain companies

SEC extends SOX 404 auditor attestation date for smallest public companies

Katten Muchin Rosenman LLP
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USA
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October 2 2009

The Securities and Exchanges Commission today announced that the date for compliance by the smallest public companies (public float under $75 million) with the Sarbanes-Oxley Act Section 404 requirement that management’s assessment of the effectiveness of internal control over financial reporting be audited by an independent registered public accounting firm has been extended from beginning with fiscal years ending on or after December 15, 2009, to fiscal years ending on or after June 15, 2010

SEC postpones filing fee increases

Katten Muchin Rosenman LLP
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USA
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October 2 2009

On September 28, the Securities and Exchange Commission announced that from October 1 to October 31, it will postpone adjustments in fee rates relating to registration of securities, securities repurchases in going-private transactions, proxy solicitations and transactions on exchanges and certain over-the-counter markets

NYSE proposes changes to its corporate governance listing standards

Katten Muchin Rosenman LLP
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USA
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September 11 2009

On August 26, the New York Stock Exchange proposed amendments modifying certain of the corporate governance disclosure requirements contained in Section 303A of the NYSE Listed Company Manual in order to clarify disclosure requirements, codify certain interpretations and replace certain disclosure requirements by incorporating applicable Securities and Exchange Commission standards

SEC announces new Division of Risk, Strategy, and Financial Innovation

Katten Muchin Rosenman LLP
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USA
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September 18 2009

On September 16, the Securities and Exchange Commission announced the establishment of the Division of Risk, Strategy, and Financial Innovation

Multiple governmental developments affecting executive compensation

Katten Muchin Rosenman LLP
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USA
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June 12 2009

On June 10, the U.S. Treasury Department and the Securities and Exchange Commission announced multiple developments affecting executive compensation

SEC publishes proposed rule facilitating shareholder director nominations

Katten Muchin Rosenman LLP
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USA
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June 12 2009

As reported in the May 22 edition of Corporate and Financial Weekly Digest, on June 10, the Securities and Exchange Commission proposed changes to the federal proxy rules to facilitate the exercise of shareholders’ rights under state corporate law to nominate and elect directors

SEC publishes proposed and final credit ratings reform rules

Katten Muchin Rosenman LLP
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USA
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October 9 2009

The Securities and Exchange Commission published the text of proposed and final rules to enhance disclosures regarding the quality of credit ratings, remove references to credit ratings in certain SEC regulations, rules and forms and broaden liability for "experts" under Section 11 of the Securities Act to include Nationally Recognized Statistical Rating Organizations (NRSROs

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