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Searching Content indexed under Finance and Banking by Michael Frank ordered by Published Date Descending.
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Ruling Highlights Importance Of Fiduciary Process Surrounding 401(K) Plan Fees And Services
On March 31, 2012, the U.S. District Court for the Western District of Missouri awarded plaintiffs more than $35 million in a class action suit over certain breaches of duty related to 401(k) plan expenses.
United States
15 Jun 2012
2
SEC Staff Issues Global No-Action Relief From Exchange Act Registration For Restricted Stock Units
On February 13, 2012, the staff of the U.S. Securities and Exchange Commission’s Division of Corporation Finance (the "Staff") issued a global no-action letter that provides relief from the requirement to register under the Securities Exchange Act of 1934.
United States
21 Feb 2012
3
Incentive Compensation for Financial Institutions: Balancing Business Drivers and New Regulatory Oversight
Recent economic turmoil has brought unprecedented attention to the incentive compensation practices of financial institutions. In addition to the pervasive media coverage and public scrutiny of compensation arrangements, these concerns have given rise to new federal oversight of financial institutions’ compensation arrangements.
United States
21 Oct 2010
4
SEC Proposes Say-on-Pay Rules
Section 951 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") requires that companies include a resolution in their proxy statements asking shareholders to approve, in a nonbinding vote, the compensation of their executive officers, as disclosed under Item 402 of Regulation S-K (the "Say-on-Pay" vote).
United States
21 Oct 2010
5
Reminder: Information Statements Must Be Provided By January 31, 2008, To Employees And Former Employees Who Exercised Incentive Stock Options Or Transferred Stock Acquired Pursuant To An Employee Stock Purchase Plan
This is a reminder to public and private companies that grant incentive stock options (ISOs) or maintain an employee stock purchase plan (ESPP).
United States
21 Jan 2008
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