Latest Dodd-Frank Posts
ISS Likely to Favor Annual Say-On-Pay Vote
Public Companies and Securities ISS announced the opening of its annual comment period for its 2011 proxy voting policies. The comment period, part of ISS’ policy development process, offers institutional investors, corporate issuers, and industry constituents the opportunity to provide feedback on ISS draft policy updates. Under the SEC’s proposed say-on-pay rules under the Dodd-Frank Act, public companies will [...] Read more →
Sample Language for a Say-on-Pay Proposal
Executive Compensation, Public Companies and Securities The SEC’s rule proposal for say-on-pay makes it sound like it should be easy to draft. The proposal states that issuers are not required to use any specific language or form... Read more →
FINRA Ups the Retail Customer Disclosure Ante
Broker-Dealer The Dodd-Frank Act clearly emphasized the need to clarify the ongoing confusion, especially in the eyes of the retail investing public, of the distinctions between broker-dealers... Read more →
CFTC Proposes Rules on Process for Review of Swaps for Mandatory Clearing
Derivatives Section 723(a)(3) of the Dodd-Frank Act amends the Commodity Exchange Act (“CEA”) to provide that “it shall be unlawful for any person to engage in a swap unless that person... Read more →