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SEC proposes rules to enhance disclosure regarding corporate governance and clarify proxy rules

Katten Muchin Rosenman LLP
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USA
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July 2 2009

On July 1, the Securities and Exchange Commission proposed amendments intended to improve disclosure in the area of corporate governance and clarify the SEC’s proxy rules

SEC proposes rules on shareholder advisory vote on executive compensation for TARP recipients

Katten Muchin Rosenman LLP
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USA
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July 2 2009

On July 1, the Securities and Exchange Commission proposed to amend the federal proxy rules to require companies which have received financial assistance under the Troubled Asset Relief Program (TARP) to include in their proxy materials an advisory vote on executive compensation

SEC proposes proxy rule changes to improve notice-only option

Katten Muchin Rosenman LLP
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USA
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October 16 2009

On October 14, the Securities and Exchange Commission proposed rule changes to its notice and access proxy solicitation model in order to enhance shareholder comprehension of the "notice-only option" and improve shareholder response rates to proxy solicitations

SEC publishes final rule amendments extending SOX 404 auditor attestation date for smallest public companies

Katten Muchin Rosenman LLP
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USA
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October 16 2009

As reported in the October 2 edition of Corporate and Financial Weekly Digest, the Securities and Exchange Commission extended the date for compliance by companies with a public float under $75 million (non-accelerated filers) with the Sarbanes-Oxley Act Section 404 requirement that management’s assessment of the effectiveness of internal control over financial reporting (ICFR) be audited by an independent registered public accounting firm

SEC recommends additional MD&A disclosures regarding loan losses

Katten Muchin Rosenman LLP
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USA
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August 21 2009

In August, the Securities and Exchange Commission’s Division of Corporation Finance sent letters to public financial institutions recommending that the companies consider additional disclosures regarding risks in their loan portfolios and trends in loan losses in Management Discussion and Analysis (MD&A) in future filings

SEC issues technical corrections to recent rule amendments

Katten Muchin Rosenman LLP
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USA
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February 26 2010

On February 23, the Securities and Exchange Commission made technical corrections to rule amendments adopted on December 19, 2009, in the areas of corporate governance and proxy disclosure

ISS publishes FAQs for policies on proxy voting recommendations

Katten Muchin Rosenman LLP
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USA
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January 7 2011

On December 14 and January 4, Institutional Shareholder Services (ISS) published FAQs regarding its policies for determining proxy voting recommendations for meetings to be held on or after February 1

House Financial Services Committee approves exemption from SOX 404(b) auditor attestation requirement for smallest public companies

Katten Muchin Rosenman LLP
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USA
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November 6 2009

On November 4, the House Financial Services Committee approved an amendment to the Investor Protection Act of 2009 (H.R. 3817) introduced by Congressmen Scott Garrett (R-N.J.) and John Adler (D-N.J.) that would exempt companies with a public float under $75 million (non-accelerated filers) from the Sarbanes-Oxley Act (SOX) Section 404(b) requirement that management’s assessment of the effectiveness of internal control over financial reporting be audited by an independent registered public accounting firm

SEC Chairman Schapiro previews upcoming agenda items, including shareholder access to proxies and enhanced disclosure

Katten Muchin Rosenman LLP
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USA
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April 10 2009

In an April 6 speech at the "Council of Institutional Investors Spring 2009 Meeting", Mary Schapiro, Chairman of the Securities and Exchange Commission, previewed a number of regulatory reform initiatives that the SEC will consider in upcoming months

SEC publishes report from Forum on Small Business Capital Formation

Katten Muchin Rosenman LLP
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USA
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May 21 2010

The Securities and Exchange Commission recently published the Final Report from its Forum on Small Business Capital Formation, held in November 2009