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SEC re-proposes security ratings changes
  • Jorden Burt LLP
  • USA
  • February 10 2011

On February 9, 2011, the SEC unanimously voted to re-propose rule amendments that would eliminate security ratings as a condition for "short form" registration.


SEC proposes enhanced disclosures on short-term borrowings
  • Jorden Burt LLP
  • USA
  • September 24 2010

On September 17, 2010, the SEC unanimously voted to propose rule and form amendments that would require enhanced short-term borrowings disclosure by all companies that provide MD&A disclosures in response to Item 303 of Regulation S-K in annual and quarterly reports, proxy or information statements that include financial statements, and '33 and '34 Act registration statements.


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."


SEC proposes proxy rule changes to facilitate director nominations by shareholders
  • Jorden Burt LLP
  • USA
  • June 30 2009

The Securities and Exchange Commission has proposed changes to its proxy rules to "remove impediments to the exercise of shareholders' rights to nominate and elect directors to company boards of directors," including the boards of investment companies registered under the Investment Company Act of 1940.


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.


Sudan Accountability and Divestment Act
  • Jorden Burt LLP
  • USA, Sudan
  • June 2 2008

In accordance with the Sudan Accountability and Divestment Act, the SEC has amended Form N-CSR and Form N-SAR to require disclosures by registered investment companies that divest from securities of issuers that the investment companies determine conduct or directly invest in certain business operations in Sudan.