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Results: 1-10 of 18

SEC publishes golden parachute rule release
  • Stinson Leonard Street LLP
  • USA
  • October 19 2010

Yesterday, as part of its "Say on Pay" rulemaking proposals, the SEC released its proposed rules for disclosure of golden parachute arrangements in the transactional context in which proxies are solicited


Sarbanes-Oxley prevents indemnification for clawback claims - Dodd-Frank implications
  • Stinson Leonard Street LLP
  • USA
  • October 8 2010

Sarbanes-Oxley requires executives to reimburse their public company employers for bonuses and profits realized from the sale of company stock for the 12 month period following the filing of a false financial report that requires a financial statement restatement


SEC soon not to be free to keep certain information confidential
  • Stinson Leonard Street LLP
  • USA
  • September 27 2010

One of the more controversial provisions of the Dodd-Frank Act allows information gathered by the SEC in its examination and investigation of those entities it regulates to not be subject to disclosure under the Freedom of Information Act


More SEC color on current investment advisers issues
  • Stinson Leonard Street LLP
  • USA
  • February 17 2011

In keynote remarks given at the PLI Investment Management Institute last week, SEC Commissioner Elisse B. Walter reiterated her support for the “need to protect retail investors seeking investment advice by harmonizing the regulation of investment advisers and broker-dealers” and increased attention to the exam process


FINRA ups the retail customer disclosure ante
  • Stinson Leonard Street LLP
  • USA
  • October 28 2010

The Dodd-Frank Act clearly emphasized the need to clarify the ongoing confusion, especially in the eyes of the retail investing public, of the distinctions between broker-dealers and investment advisers


Will whistleblower claims give rise to more SEC enforcement actions?
  • Stinson Leonard Street LLP
  • USA
  • December 9 2010

The Dodd-Frank Act's whistleblower protection provisions will go into effect no later than nine months after July 22, 2010


Advance notice of rule making on use of credit ratings
  • Stinson Leonard Street LLP
  • USA
  • August 13 2010

The Office of the Comptroller of the Currency, Board of Governors of the Federal Reserve System, and the Federal Deposit Insurance Corporation, issued an advance notice of rule making regarding alternatives to the use of credit ratings in the regulatory capital guidelines


FDIC announces open door policy for regulatory reform rulemaking
  • Stinson Leonard Street LLP
  • USA
  • August 14 2010

The Federal Deposit Insurance Corporation on August 12, 2010 announced an open door policy that will make it easier for the public to give input and track the rulemaking process as the agency implements the Dodd-Frank Wall Street Reform and Consumer Protection Act


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


Recent SEC actions on broker voting, executive stock options, compensation and corporate governance and shareholder access to proxy statements
  • Stinson Leonard Street LLP
  • 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