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569 results found

Article

Sullivan & Cromwell LLP | USA | 11 Feb 2019

SEC Provides Guidance on Director Diversity Disclosure

On February 6, 2019, the Securities and Exchange Commission’s Division of Corporation Finance released Compliance and Disclosure Interpretations 116

Article

Herrick Feinstein LLP | USA | 16 Nov 2011

SEC's Division of Corporation Finance issues new Compliance and Disclosure Interpretations

The Division of Corporation Finance issued seven new Compliance and Disclosure Interpretations, or CDIs.

Article

Foley & Lardner LLP | USA | 3 Oct 2011

SEC charges co-founder of institutional money manager with fraud

The SEC, on September 22, 2011, charged Ben M. Rosenberg, a co-founder of California-based institutional money manager AXA Rosenberg, with fraud for concealing a significant error in the computer code of the quantitative investment model that he developed and provided to his firm and related entities for managing client assets.

Article

Holland & Knight LLP | USA | 25 Jul 2011

Division of Corporation Finance issues new Compliance and Disclosure Interpretations

On July 8, 2011, the SEC’s Division of Corporation Finance issued a series of new Compliance and Disclosure Interpretations (CDIs).

Article

Katten Muchin Rosenman LLP | USA | 15 Jul 2011

SEC issues new interpretations related to executive compensation and say-on-pay reporting

On July 8, the Securities and Exchange Commission's Division of Corporation Finance issued new Compliance and Disclosure Interpretations (C&DIs) on executive compensation disclosure and reporting with respect to the frequency of shareholder advisory votes on executive compensation (i.e., "say on pay").

Article

Winston & Strawn LLP | USA | 31 Mar 2011

Firms fined for failure to safeguard customer information

In February 2011, Lincoln Financial Securities Inc., and affiliate Lincoln Financial Advisors Corp., agreed to pay fines totalling $600,000 for failing to adequately protect confidential customer information.

Article

Jones Day | USA | 25 Jun 2009

TARP compensation guidance and other executive compensation proposals

The Department of the Treasury, the Securities and Exchange Commission, and Congress have continued their assault on executive compensation practices.

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