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SEC Commissioner says JOBS Act merits increased scrutiny of transfer agents
  • Stinson Leonard Street LLP
  • USA
  • February 21 2014

Commissioner Luis A. Aguilar recently gave a speech in which he stated the JOBS Act will require increased scrutiny of transfer agents because of the


SEC Chair White warns on fee shifting bylaws
  • Stinson Leonard Street LLP
  • USA
  • March 19 2015

In remarks at a conference attended by M&A professionals, SEC Chair White gave her views on fee shifting bylaws. Currently the SEC staff is focused


Proxy access: request to reconsider Whole Foods; another seeks to avoid NYC proposal
  • Stinson Leonard Street LLP
  • USA
  • December 24 2014

James McRitchie was the shareholder proponent who submitted a proxy access proposal to Whole Foods. The SEC granted Whole Foods' request to exclude


ISS issues FAQs on independent chair policy and Equity Plan Scorecard
  • Stinson Leonard Street LLP
  • USA
  • December 24 2014

ISS previously issued its 2015 policy updates which we discussed here. ISS has now issued FAQs on the independent chair policy and the Equity Plan


Business roundtable gives ISS its views on proxy access
  • Stinson Leonard Street LLP
  • USA
  • January 23 2015

The SEC Division of Corporation Finance recently informed public companies that it will express no views on the application of Rule 14a-8(i)(9


Issuer welcomes shareholder proposal
  • Stinson Leonard Street LLP
  • USA
  • January 31 2015

A coalition of investors submitted a shareholder resolution to Royal Dutch Shell plc. The resolutions titled 'Strategic Resilience for 2035 and


"Pay versus performance" rule proposed by Securities and Exchange Commission
  • Stinson Leonard Street LLP
  • USA
  • May 13 2015

On April 29, 2015, the U.S. Securities and Exchange Commission (SEC) issued another proposed rule under the Dodd-Frank Act, this time with respect to


Observations on the SEC’s proposed pay versus performance rule
  • Stinson Leonard Street LLP
  • USA
  • May 7 2015

The SEC has issued a proposed rule to require companies to disclose the relationship between executive compensation and the financial performance of


GAO studies Regulation A in connection with JOBS Act
  • Stinson Leonard Street LLP
  • USA
  • July 9 2012

Concerned about the decline in the number of public offerings, the JOBS Act requires the SEC to amend Regulation A (or to adopt a new regulation) to raise the threshold for use of that registration exemption from $5 million to $50 million, and requires the GAO to study the impact of state securities laws on Regulation A offerings


Nasdaq proposes rules regarding independence of compensation committees
  • Stinson Leonard Street LLP
  • USA
  • September 26 2012

Nasdaq has proposed rules regarding the independence of compensation committees in response to final rules issued by the SEC under the Dodd-Frank Act