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Results: 11-20 of 2,275

FINRA supports the SEC's uniform fiduciary standard over the DOL's approach, but the debate is far from over
  • Bressler, Amery & Ross PC
  • USA
  • May 28 2015

Establishing a fiduciary standard for investment professionals has been a topic of debate among regulators, politicians, industry insiders and the


SEC approves proposed rules for executive compensation
  • Burr & Forman LLP
  • USA
  • May 20 2015

On April 29, 2015, the Securities and Exchange Commission (SEC) narrowly approved proposed rules requiring certain reporting companies to disclose


New executive compensation disclosure rules proposed by SEC: pay vs. performance
  • Barnes & Thornburg LLP
  • USA
  • May 14 2015

On April 29, the Securities and Exchange Commission (SEC) proposed new rules to require public companies to disclose in their annual proxy statements


FINRA Chairman: SEC should lead on uniform fiduciary standard
  • Proskauer Rose LLP
  • USA
  • May 8 2015

On May 1, 2015, Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority ("FINRA"), reaffirmed his support for a uniform


SEC proposes rules on mandatory pay for performance disclosure
  • Foley & Lardner LLP
  • USA
  • May 5 2015

On April 29, 2015, the Securities and Exchange Commission (SEC) proposed rules that would require public companies to disclose the relationship


Impact of updated fiduciary investment advice definition on large plans
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • May 5 2015

On April 14, 2015, The Department of Labor ("DOL") re-issued proposed regulations (the "Proposed Regulations") that would expand the definition of


SEC proposed hedging transaction disclosure rules
  • McDermott Will & Emery
  • USA
  • May 4 2015

Much attention has been given to recent U.S. Securities and Exchange Commission (SEC) proposed rulemaking under the Dodd-Frank Wall Street Reform and


Financial services update vol. 10, issue 17
  • Winston & Strawn LLP
  • USA
  • May 4 2015

Last week the staff at the Securities and Exchange Commission ("SEC") Division of Investment Management (the "Division") issued additional guidance


SEC proposes new pay versus performance disclosure rules
  • McDermott Will & Emery
  • USA
  • April 30 2015

On April 29, 2015, the United States Securities and Exchange Commission (SEC) voted three-to-two to propose new rules that would prescribe new


Department of Labor proposal seeks to expand financial advisers’ fiduciary duties
  • Mayer Brown LLP
  • USA
  • April 29 2015

A rule proposed by the US Department of Labor would eliminate a pair of ERISA exemptions that have allowed financial advisers and brokers to steer