Latest Dodd-Frank Posts
First Say-on-Pay Frequency Results Mixed
Employment, Executive Compensation, Public Companies and Securities Based on filed 8-Ks, two companies have reported the results of the shareholder advisory vote on frequency of the say-on-pay vote as of January 25, 2011. In both, the board recommended a triennial vote. However, the shareholders in one voted for an annual say-on-pay vote, and the other went with a three year vote. The [...] Read more →
SEC Adopts Final Say-on-Pay Rules
Employment, Executive Compensation, Public Companies and Securities The SEC has issued its final say-on-pay rules (Release No. 33-9178; 34-63768). The good news is the final rules are mostly tweaks, and issuers’ advance planning to date will... Read more →
SEC Proposes Rules Regarding Accredited Investors
Private Equity, Public Companies and Securities The SEC has proposed rules pursuant to Section 413(a) of the Dodd-Frank Act which requires the definition of “accredited investor” in the SEC’s Securities Act rules to... Read more →
SEC Staff to Congress: Brokers Should be Subject to a Uniform Fiduciary Standard
Banking, Broker-Dealer, Investment Advisers The staff of the SEC has delivered to Congress a long-awaited study pursuant to Section 913 of the Dodd-Frank Act. That provision of the Dodd-Frank Act requires the SEC to... Read more →