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SEC adopts enhanced fund director disclosure requirements
  • Jorden Burt LLP
  • USA
  • January 5 2010

On December 16, 2009, the Securities and Exchange Commission ("SEC") adopted proxy rule and registration statement form amendments that impact disclosures about directors and director nominees of management investment companies registered under the Investment Company Act of 1940 ("funds").


SEC scrubs rules of references to credit ratings
  • Jorden Burt LLP
  • USA
  • December 2 2009

The SEC has adopted amendments to certain rules to remove references to credit ratings issued by nationally recognized statistical rating organizations.


SEC proposes broad rule changes to enhance compensation and corporate governance disclosures
  • Jorden Burt LLP
  • USA
  • August 12 2009

The Securities and Exchange Commission has proposed amendments to its rules to "enhance the compensation and corporate governance disclosures registrants are required to make" about their "overall compensation policies and their impact on risk taking; stock and option awards of executives and directors; director and nominee qualifications and legal proceedings; company leadership structure; the board's role in the risk management process; and potential conflicts of interest of compensation consultants who advise companies."


New Form D amendment rules pose trap for unwary
  • Jorden Burt LLP
  • USA
  • March 4 2009

With the March 16 deadline for mandatory electronic filing of the new Form D fast approaching, issuers offering or selling unregistered securities on a continuous basis in reliance on Regulation D, including insurance companies offering private placement variable life insurance products, should be mindful of the new amendment rules for Form D.