Say-On-Pay: Board Recommendations
Public Companies and Securities Section 951 of the Dodd-Frank Act requires advisory say-on-pay votes from shareholders on the compensation of named executive officers, the Compensation Discussion and Analysis, compensation tables and the other narrative disclosures required by Item 402 of Regulation S-K at least every three years. We first covered the major points of Section 951 in detail here. [...] Read more →
SEC Requests Comment on Study of SOX Compliance Burden
Public Companies and Securities On October 14, the SEC recently issued a release requesting public comment in connection with a study relating to ways in which the SEC could reduce the burden of complying with... Read more →
Dodd-Frank and SOX Whistleblower Protections
Public Companies and Securities The cooperation of corporate whistleblowers may be a crucial element of a transparent and fully accountable market place. However, many employees with knowledge of violations... Read more →
The Dodd-Frank Act Expands Whistleblower Bounties
Litigation, Public Companies and Securities The SEC has issued a final rule repealing former Section 21A(e) of the Securities Exchange Act of 1934, pursuant to which the SEC had been empowered to make monetary awards to... Read more →
Panel Predicts Limited Use of the New Shareholder Proxy Access Rules
Public Companies and Securities Back on September 10, 2010, we summarized new Exchange Act Rule 14a-11 relating to shareholder proxy access. Last week, in a panel discussion organized by the Practising Law... Read more →
SEC Releases Rulemaking Schedule
Executive Compensation, Private Equity, Public Companies and Securities The SEC has released its planned rulemaking schedule through July 2011. As was expected, the agency is going to be busy adopting numerous new regulations and amending existing... Read more →
Shareholder Proxy Access Under New Rule 14a-11
Public Companies and Securities The proxy process represents the principal means by which shareholders become informed of and participate in the business to be undertaken at a public company’s annual... Read more →
Summary of Corporate Governance Provisions in the Dodd-Frank Act
Public Companies and Securities Set forth below is a summary of the principal corporate governance and corporate finance provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the... Read more →
Record Keeping Requirements for Advisers to Private Funds
Private Equity The Dodd-Frank Wall Street Reform and Consumer Protection Act requires certain investment advisers to “private funds” to maintain certain records and file reports with the SEC... Read more →
Dodd-Frank and Minnesota Investment Advisers
Private Equity, Public Companies and Securities The Interaction Between Dodd-Frank and Minnesota Regulation of Investment Advisers Before enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the following... Read more →