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FINRA's 2017 Annual Regulatory and Examination Priorities
  • Greenberg Traurig LLP
  • USA
  • January 12 2017

On Jan. 4, 2017, FINRA released its 12th annual Regulatory and Examination Priorities Letter in which it identifies its areas of examination focus


Department of Labor Issues Guidance on Voting on ESG Proposals
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

On Dec. 28, 2016, the Department of Labor, or DOL, issued a new interpretive bulletin (IB 2016-01) to clarify that plan fiduciaries can exercise


ISS Updates FAQs relating to Peer Groups, Equity Compensation Plans, and Executive Compensation Policies
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

In November and December 2016, ISS, released its updated Frequently Asked Questions relating to U.S. Equity Compensation Plans, U.S. Executive


Securities Litigation - What to Watch in 2017
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

2016 was a banner year for securities-related litigation. As we noted in our Dec. 6, 2016 edition of GT Insights, SEC Enforcement Actions increased


Sullivan & Cromwell Partner Selected to be New Chairman of the SEC
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

President-elect Donald Trump has nominated Jay Clayton, a partner at Sullivan & Cromwell, to be chairman of the SEC. According to his profile at


ISS Releases Primer regarding its Methodology for Evaluating Equity Compensation Plans in 2017
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

On Dec. 21, 2016, ISS published an updated overview of ISS's Equity Plan Scorecard methodology that will affect recommendations on proposals being


10th Circuit Declares SEC Administrative Law Judges Unconstitutional and Creates Circuit Split
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

On Dec. 27, 2016, the United States Court of Appeals for the Tenth Circuit held in Bandimere v. U.S. SEC that the SEC's administrative law judges


ISS Releases White Paper regarding Pay-for-Performance Mechanics
  • Greenberg Traurig LLP
  • USA
  • January 9 2017

In December 2016, Institutional Shareholder Services, or ISS, released a White Paper describing its quantitative and Qualitative Approach to


The 10th Circuit Declares SEC’s Home Courts to be Unconstitutional and Creates Circuit Split
  • Greenberg Traurig LLP
  • USA
  • December 29 2016

Right after Christmas, the United States Court of Appeals for the Tenth Circuit delivered a lump of coal to the Securities and Exchange Commission in


SEC Convenes Fintech Forum
  • Greenberg Traurig LLP
  • USA
  • December 19 2016

On Nov. 14, 2016, the Securities and Exchange Commission (SEC) hosted an all-day forum on FinTech ( Forum). The event highlighted the active role the