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Results: 1-10 of 48

SEC staff publishes new guidance on shareholder proposals

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 26 2012

On October 16 the Securities and Exchange Commission’s Division of Corporation Finance issued Staff Legal Bulletin No. 14G (SLB 14G) providing guidance with respect to three issues in connection with shareholder proxy proposals that arose during the 2012 proxy season

PCAOB adopts new auditing standard relating to communications between auditors and audit committees, subject to SEC approval

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2012

On September 10, the Securities and Exchange Commission posted for comment Auditing Standard No. 16, “Communications with Audit Committees,” adopted by the Public Company Accounting Oversight Board (PCAOB) on August 15

New general solicitation and advertising rules to be delayed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 29 2012

In testimony before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs Oversight and Government Reform Committee of the U.S. House of Representatives, Mary L. Shapiro, Chairman of the Securities and Exchange Commission, provided testimony with respect to the rule-making required of the SEC under the Jumpstart Our Business Startups Act (JOBS Act

SEC implements secure e-mail system for confidential submissions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 18 2012

Effective May 14, the Division of Corporation Finance of the Securities and Exchange Commission has implemented a secure e-mail system that allows it to receive confidential submissions from “emerging growth companies” (EGCs) under the Jumpstart Our Business Startups Act (JOBS Act), as well as from certain foreign private issuers under the Division of Corporation Finance’s pre-existing policy that permits such issuers to submit draft registration statements to the SEC for non-public review

SEC issues guidance and implementation of the JOBS Act

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 13 2012

The Jumpstart Our Business Startups Act (JOBS Act), which was enacted on April 5, includes reforms intended to facilitate capital raising by small businesses and “emerging growth companies” (EGCs

SEC issues new C&DI on description of say-on-pay advisory vote on proxy card and voting instruction form

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 17 2012

On February 13, the Securities and Exchange Commission’s Division of Corporation Finance issued a new Compliance and Disclosure Interpretation (C&DI 169.07) which provides guidance as to the proper description on a proxy card and voting instruction form of an advisory shareholder vote to approve a registrant’s executive compensation (Say-on-Pay) that is required by Rule 14a-21 of the Securities Exchange Act of 1934, as amended

SEC releases updated schedule to implement certain provisions of the Dodd-Frank Act

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

On January 6, the Securities and Exchange Commission again updated its planned schedule for adopting rules and taking other actions to implement the corporate governance and disclosure provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act

SEC staff delays move to international accounting standards

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 9 2011

On December 5, the chief accountant of the Securities and Exchange Commission, James L. Kroeker, stated in a speech before the National Conference of the American Institute of Certified Public Accountants (AICPA) that the SEC’s staff will need “a few additional months” to prepare a final report concerning a possible incorporation of International Financial Reporting Standards (IFRS) for U.S. issuers

ISS survey on current governmental and compensation policy issues

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 30 2011

In a report released on September 26, Institutional Shareholder Services Inc. released its 2011-2012 Policy Survey Summary of Results (the Survey

SEC will not appeal proxy access decision; Rule 14a-8 amendment to become effective

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 9 2011

Mary Schapiro, Chairman of the Securities and Exchange Commission, announced this week that the SEC will not appeal the decision of the U.S. Court of Appeals for the District of Columbia’s decision vacating SEC Rule 14a-11, which would have required companies to include shareholders’ director nominees in company proxy statements