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Whole Foods’ proposal for proxy access is sufficient to exclude shareholder proposal

USA - December 15 2014 In a closely watched development, the SEC's Division of Corporation Finance Staff (Staff) granted no-action relief in early December to Whole Foods...

Bree F. Archambault.


New SIFMA guidance may ease accredited investor verification worries, assist Reg D offerings using general solicitation

USA - August 18 2014 One of the goals of the federal JOBS Act, enacted in 2012, was to expand the ability of companies (both operating companies and funds) to make...


Independence of compensation consultants looking forward and backward

USA - February 19 2013 On January 11 2013, the Securities and Exchange Commission approved rule changes proposed by the New York Stock Exchange ("NYSE") and the NASDAQ...


New NYSE and NASDAQ rules require review of compensation committee charters

USA - October 16 2012 On June 20, 2012, the SEC, acting under a mandate of the Dodd-Frank Act, adopted rules directing the national securities exchanges to prohibit the listing of any equity security of an issuer that is not in compliance with specified compensation committee and compensation adviser requirements....


Believe but verify: evaluating accredited investors under the SEC’s proposed Rule 506(c)

USA - September 6 2012 Section 201(a)(1) of the Jumpstart Our Business Startups Act, enacted April 5, 2012, states: Not later than 90 days after the date of enactment of this Act, the Securities and Exchange Commission shall revise its rules issued in section 230506, provided that all purchasers of the securities are accredited investors....