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Results: 1-10 of 83

What does a clawback policy look like?

  • Stinson Leonard Street LLP
  • -
  • 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 releases new Say-on-Pay CD&I

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • February 14 2012

On February 13, 2012, the SEC released new CD&I 169.07, which provides guidance on appropriate descriptions of the say-on-pay advisory vote required by Rule 14a-21 under the Exchange Act

Group publishes shareholder engagement protocol

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • February 3 2014

The Shareholder-Director Exchange, or SDX, is a working group of independent directors and representatives from some of the largest and most

A review of issuers who have sought golden parachute approvals at annual meetings

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • May 7 2011

We have been asked by general counsels of many public companies, and readers of our blog, if anyone was using the optional advisory approval of golden parachute arrangements permitted by the Dodd-Frank Act in connection with an annual meeting

What directors and public companies need to know about the end-user swap exception

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • December 16 2010

The Dodd-Frank Act broadly requires that most swaps be cleared through a derivative clearing organization

Is proxy access the best defense to proxy access?

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • January 28 2012

Western Union received a shareholder proposal under Rule 14a-8 from Norges Bank

SEC outlines process for evaluating whistleblower tips

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 11 2012

The SEC has published information which outlines the process for evaluating tips submitted by whistleblowers

Preliminary 2013 proxy season checklist

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 24 2012

At this time, there are relatively few new items that need to be considered for the upcoming proxy and 10-K season

Some ruminations on the JOBS Act’s Regulation D provisions

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 29 2012

The Dodd-Frank Act was overarching, cumbersome and, from its inception, has created much ongoing regulatory uncertainty

More 14a-11 examples

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 19 2010

Filings by public companies continue to include references to Rule 14a-11, which permits shareholders to nominate a director and include the nomination in the registrant's proxy statement