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	<title>Dodd-Frank and the Law &#187; Jill Radloff</title>
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	<link>http://dodd-frank.com</link>
	<description>This site, developed and maintained by attorneys at Leonard, Street and Deinard, is dedicated to making sense of the complex Dodd Frank legislation and helping businesses understand how it will affect them specifically</description>
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		<title>Whistleblower Law Firm Complains to SEC</title>
		<link>http://dodd-frank.com/whistleblower-law-firm-complains-to-sec/</link>
		<comments>http://dodd-frank.com/whistleblower-law-firm-complains-to-sec/#comments</comments>
		<pubDate>Fri, 17 May 2013 11:44:17 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Litigation]]></category>
		<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3807</guid>
		<description><![CDATA[Two partners from a self-described law firm that specializes in the representation of whistleblowers have sent a letter to the SEC Commissioners complaining about the use of severance agreements to prevent employees from participating in the SEC whistleblower program.  The letter complains about contractual clauses inserted in severance agreements with departing employees such as: Employee [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>8-K&#8217;s Announcing Reg FD Social Media Channels Begin; NYSE Weighs In</title>
		<link>http://dodd-frank.com/8-ks-announcing-reg-fd-social-media-channels-begin-nyse-weighs-in/</link>
		<comments>http://dodd-frank.com/8-ks-announcing-reg-fd-social-media-channels-begin-nyse-weighs-in/#comments</comments>
		<pubDate>Thu, 18 Apr 2013 16:20:19 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3709</guid>
		<description><![CDATA[The SEC opened the barn doors on use of social media, or merely reaffirmed existing guidance, depending on your point of view, in a recent Section 21(a) report. Netflix, the subject of the Section 21(a) report, promptly responded by filing this Form 8-K.  The 8-K announces two Netfix blogs, the Netflix Facebook page and Reed [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>Court Dismisses Another Say-on-Pay Disclosure Case</title>
		<link>http://dodd-frank.com/court-dismisses-another-say-on-pay-disclosure-case/</link>
		<comments>http://dodd-frank.com/court-dismisses-another-say-on-pay-disclosure-case/#comments</comments>
		<pubDate>Mon, 08 Apr 2013 16:56:21 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Executive Compensation]]></category>
		<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3675</guid>
		<description><![CDATA[The District Court for the Northeastern District of Illinois recently granted a Rule 12(b)(6) motion to dismiss an action styled Noble v. AAR Corp.  The plaintiff alleged that the company failed to provide adequate disclosures as to what exactly the Board considered in relation to the say-on-pay proposal. The court granted the defendants’ motion to [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>Accredited Crowdfunding, Internet Advertising and General Solicitation</title>
		<link>http://dodd-frank.com/accredited-crowdfunding-internet-advertising-and-general-solicitation/</link>
		<comments>http://dodd-frank.com/accredited-crowdfunding-internet-advertising-and-general-solicitation/#comments</comments>
		<pubDate>Fri, 05 Apr 2013 00:11:34 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Broker-Dealer]]></category>
		<category><![CDATA[Investment Advisers]]></category>
		<category><![CDATA[Private Equity]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3651</guid>
		<description><![CDATA[The SEC recently granted two accredited crowdfunding sites exemptions from the broker-dealer rules because the type of carried interest (or close equivalent) used to compensate the site is not transaction based compensation.  But some of the accredited crowdfunding sites broadly attract potential investors to their sites by what could constitute advertising on the face of [...]]]></description>
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		<slash:comments>2</slash:comments>
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		<title>SEC Commissioner Gives Speech on Proxy Disclosure</title>
		<link>http://dodd-frank.com/sec-commissioner-gives-speech-on-proxy-disclosure/</link>
		<comments>http://dodd-frank.com/sec-commissioner-gives-speech-on-proxy-disclosure/#comments</comments>
		<pubDate>Fri, 01 Mar 2013 12:50:48 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Executive Compensation]]></category>
		<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3544</guid>
		<description><![CDATA[SEC Commissioner Luis A. Aguilar recently gave a speech setting forth his views on proxy disclosure.  Some of the more interesting points were:  Mr. Aguilar noted that issuers should go beyond the requirements in compensation risk disclosures: “A key provision of the 2009 amendments is Item 402(s) of Regulation S-K, which requires a narrative discussion [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>Hedge Funds and Private Equity Groups on SEC Examination Priority List</title>
		<link>http://dodd-frank.com/hedge-funds-and-private-equity-groups-on-sec-examination-priority-list/</link>
		<comments>http://dodd-frank.com/hedge-funds-and-private-equity-groups-on-sec-examination-priority-list/#comments</comments>
		<pubDate>Sat, 23 Feb 2013 17:47:04 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Investment Advisers]]></category>
		<category><![CDATA[Private Equity]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3535</guid>
		<description><![CDATA[The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC&#8217;s nationwide examination and inspection program.  The National Examination Program, or NEP, has published its examination priorities to communicate with investors and registrants about areas that are perceived by the staff to have heightened risk.  The examination priorities call out hedge funds and private [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>SEC Official Describes Model to Identify Anomalous Accounting Results by Registrants</title>
		<link>http://dodd-frank.com/sec-official-describes-model-to-identify-anomalous-accounting-results-by-registrants/</link>
		<comments>http://dodd-frank.com/sec-official-describes-model-to-identify-anomalous-accounting-results-by-registrants/#comments</comments>
		<pubDate>Wed, 20 Feb 2013 00:12:13 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3530</guid>
		<description><![CDATA[Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation, U.S. Securities &#38; Exchange Commission, described the SEC’s “Accounting Quality Model,” or AQM.  This model is being designed to provide a set of quantitative analytics that could be used across the SEC to assess the degree to which registrants’ financial statements [...]]]></description>
		<wfw:commentRss>http://dodd-frank.com/sec-official-describes-model-to-identify-anomalous-accounting-results-by-registrants/feed/</wfw:commentRss>
		<slash:comments>1</slash:comments>
		</item>
		<item>
		<title>Changes to D&amp;O Questionnaires to Implement NYSE and Nasdaq Compensation Committee Independence Rules</title>
		<link>http://dodd-frank.com/changes-to-do-questionnaires-to-implement-nyse-and-nasdaq-compensation-committee-independence-rulees/</link>
		<comments>http://dodd-frank.com/changes-to-do-questionnaires-to-implement-nyse-and-nasdaq-compensation-committee-independence-rulees/#comments</comments>
		<pubDate>Fri, 01 Feb 2013 20:37:21 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Executive Compensation]]></category>
		<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3484</guid>
		<description><![CDATA[Both the NYSE and Nasdaq stock exchanges are requiring most issuers to have independent compensation committees by the earlier of their first annual meeting after January 14, 2014, or October 14, 2014.  You can find our NYSE compliance checklist here and our Nasdaq compliance checklist here. While compliance is not required until the 2014 proxy [...]]]></description>
		<wfw:commentRss>http://dodd-frank.com/changes-to-do-questionnaires-to-implement-nyse-and-nasdaq-compensation-committee-independence-rulees/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>ISS Offers Issuers the Chance to Verify Governance Rating Data</title>
		<link>http://dodd-frank.com/iss-offers-issuers-the-chance-to-verifty-governance-rating-data/</link>
		<comments>http://dodd-frank.com/iss-offers-issuers-the-chance-to-verifty-governance-rating-data/#comments</comments>
		<pubDate>Mon, 28 Jan 2013 19:09:32 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3475</guid>
		<description><![CDATA[ISS is in the process of rolling out a new governance rating called QuickScore, that will replace the GRID rating system.  According to ISS,  QuickScore will help institutional investors identify and monitor potential governance risk in their portfolios and help companies identify possible investor concerns based on signals of governance risk.  ISS is offering issuers [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<title>NYSE Adopts Uniform Notice Provision for Listed Issuers</title>
		<link>http://dodd-frank.com/nyse-adopts-uniform-notice-provision-for-listed-issuers/</link>
		<comments>http://dodd-frank.com/nyse-adopts-uniform-notice-provision-for-listed-issuers/#comments</comments>
		<pubDate>Mon, 21 Jan 2013 18:16:00 +0000</pubDate>
		<dc:creator>Jill Radloff</dc:creator>
				<category><![CDATA[Public Companies and Securities]]></category>
		<category><![CDATA[Uncategorized]]></category>

		<guid isPermaLink="false">http://dodd-frank.com/?p=3464</guid>
		<description><![CDATA[Various NYSE require listed companies to provide notice to the NYSE upon certain events.  The methods specified to give notice vary from rule to rule and sometimes no notice method is specified.  The SEC has approved an amendment to the NYSE rules to specify a uniform method for giving notice to the Exchange in many, [...]]]></description>
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