Latest Dodd-Frank Posts
Say on Pay and Broker Non-Votes
Executive Compensation, Public Companies and Securities The Dodd-Frank Act expands the areas in which brokers are prohibited from voting unless they have received specific client instructions. Section 957 of the Act amends the Securities Exchange Act of 1934 to prohibit brokers from voting uninstructed shares on issues related to executive compensation (including the new “say on pay” votes), director elections and […] Read more →
What Does a Clawback Policy Look Like?
Employment, Executive Compensation, Public Companies and Securities Section 954 of the Dodd_Frank Act requires national securities exchanges (meaning for instance, the NYSE, Amex and Nasdaq) to adopt rules as directed by the SEC, which rules... 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 →
A Compensation Plan That Didn’t Work
Banking, Employment, Executive Compensation, Public Companies and Securities HP’s Chief Executive Officer, Mark Hurd, resigned after an investigation disclosed that Hurd had a “close personal relationship” with an H-P contractor hired by the... Read more →