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14 results found

Article

Husch Blackwell LLP | USA | 3 Apr 2017

Proxy Voting and Interpretive Bulletin 2016-01

On December 29, 2016, the Department of Labor (DOL) issued Interpretive Bulletin 2016-01 (the “Bulletin”) relating to the exercise of shareholder

Article

Seyfarth Shaw LLP | USA | 2 Aug 2016

SEC Approves NASDAQ “Golden Leash” Rules

Recently, the U.S. Securities and Exchange Commission (the “SEC”) approved NASDAQ’s new Rule 5250(b)(3), which requires NASDAQ-listed companies to

Article

Dorsey & Whitney LLP | USA | 26 Jul 2011

SEC’s proxy access rule is vacated by DC circuit

The Commission’s new “proxy access” Rule was vacated by the Circuit Court of the District of Columbia for failing to comply with the Administrative Procedure Act or APA.

Article

McCarthy Tétrault LLP | Canada | 29 Nov 2010

SEC reviews the role and regulation of proxy advisory firms

The US Securities and Exchange Commission (SEC) recently issued a concept release on the US proxy voting system in the United States that discusses, among other topics, the role and regulation of proxy advisory firms and proposed regulatory reforms related to them.

Article

Osler Hoskin & Harcourt LLP | Canada | 23 Nov 2010

Are you an ERISA fiduciary? It may become more likely if you give investment advice

The U.S. Department of Labor (DOL) has issued a proposed regulation intended to expand the class of advisers considered to be fiduciaries of plans subject to ERISA (which includes all 401(k) and other tax qualified plans) and IRAs.

Article

Dechert LLP | USA | 27 Oct 2010

DOL proposes new ERISA “fiduciary” definition

The Department of Labor ("DOL") issued a proposed regulation on October 21, 2010 that would, if adopted, modify an existing regulation to more broadly define the circumstances under which a person is considered to be a "fiduciary" under the Employee Retirement Income Security Act of 1974 ("ERISA") and Section 4975 of the Internal Revenue Code as a result of giving investment advice to an IRA, an employee benefit plan or a plan's fiduciaries, participants or beneficiaries.

Article

McCarthy Tétrault LLP | USA | 16 Sep 2010

SEC reviews the role and regulation of proxy advisory firms

The U.S. Securities and Exchange Commission (SEC) recently issued a concept release on the US proxy voting system in the United States that discusses, among other topics, the role and regulation of proxy advisory firms and proposed regulatory reforms related to them.

Article

Foley & Lardner LLP | USA | 16 Jul 2010

What the Dodd-Frank Wall Street Reform and Consumer Protection Act means for public companies

On July 15, 2010, the US Senate approved the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act), which the US House of Representatives also approved on June 30, 2010.

Article

Jenner & Block LLP | USA | 16 Jun 2009

SEC publishes proposed rules on stockholder proxy access

On June 10, 2009, the Securities and Exchange Commission ("SEC") published stockholder proxy access rules following a history of unsuccessful prior proposals.

Article

Paul Weiss | USA | 28 May 2009

The Shareholder Bill of Rights Act of 2009

On May 19th, Senators Charles Schumer of New York and Maria Cantwell of Washington introduced the Shareholder Bill of Rights Act of 2009 (S. 1074), which, if adopted in its current form, would encompass the most fundamental restructuring of U.S. corporate governance in recent years.

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