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Searching Content indexed under Charges, Mortgages, Indemnities by Laura Richman ordered by Published Date Descending.
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1
US Securities and Exchange Commission Amends Dollar Threshold Tests Under Qualified Client Standard, Requires Exclusion of Net Equity in Primary Residence
On February 15, 2012, the Securities and Exchange Commission (the "Commission") adopted amendments to Rule 205-3 under the Investment Advisers of 1940, as amended (the "Advisers Act"), that included increases to the "assets under management" and "net worth" dollar thresholds used to determine whether an individual or company is a "qualified client" for purposes of enabling an investment adviser (including an investment adviser to Section 3(c)(1) funds) to charge performance-based compensation.
United States
6 Mar 2012
2
NYSE Limits Broker Discretionary Voting on Corporate Governance Proposals
NYSE Rule 452 governs the situation where NYSE member brokers are permitted to vote shares for proxy proposals without specific instructions from their clients.
United States
8 Feb 2012
3
U.S. Securities and Exchange Commission Adopts Dodd-Frank Mine Safety Rules
Section 1503 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires all issuers that are operators, or that have a subsidiary that is an operator, of a coal or other mine, as defined under the Federal Mine Safety and Health Act of 1977 (MSHA), to make mine safety disclosures in periodic reports filed with the Securities and Exchange Commission. MSHA defines "operator" to include the operator, supervisor or controller of a mine (along with independent contractors performing ser
United States
31 Jan 2012
4
"Net Worth" Standard for Accredited Investors Further Amended by US Securities and Exchange Commission
The Securities and Exchange Commission has further amended its net worth standard for accredited investors.
United States
10 Jan 2012
5
U.S. Securities and Exchange Commission Adopts New Net Worth Standard for Accredited Investors
The Securities and Exchange Commission has amended its net worth standard for accredited investors.
United States
9 Jan 2012
6
Preparing for the 2012 Proxy and Annual Reporting Season
Before the year draws to a close, public companies should begin planning for the 2012 proxy and annual reporting season. Key issues for the upcoming season are summarized below.
United States
18 Oct 2011
7
U.S. Securities and Exchange Commission Will Not Appeal Proxy Access Decision; Related Shareholder Proposal Amendments Become Effective
On July 22, 2011, the U.S. Court of Appeals for the District of Columbia vacated SEC Rule 14a-11 under the Securities Exchange Act of 1934.
United States
15 Sep 2011
8
US Securities and Exchange Commission Replaces Credit Ratings as Eligibility Criteria for Short-Form Registration Statements
On July 26, 2011, the Securities and Exchange Commission (SEC) adopted amendments to remove credit ratings as eligibility criteria for registration statements on Form S-3 and Form F-3.
United States
19 Aug 2011
9
U.S. Court of Appeals Vacates SECís Proxy Access Rule
On July 22, 2011, the U.S. Court of Appeals for the District of Columbia Circuit vacated Rule 14a-11, the Securities and Exchange Commissionís proxy access rule. Rule 14a-11 provided a means for shareholders to use a company managementís proxy statement and form of proxy to nominate directors and solicit votes for their election if certain conditions were met.
United States
29 Jul 2011
10
SEC Proposes Compensation Committee Listing Standards And Compensation Consultant Disclosure Requirements As Mandated By The Dodd-Frank Act
On March 30, 2011, the U.S. Securities and Exchange Commission (SEC) unanimously approved its proposing release "Listing Standards for Compensation Committees,"1 to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which added Section 10C to the Securities Exchange Act of 1934 (Exchange Act).
United States
15 Apr 2011
11
US Securities and Exchange Commission Proposes to Remove References to Credit Ratings from Certain Securities Act and Exchange Act Rules and Forms
On February 9, 2011, the United States Securities and Exchange Commission (SEC), in Release No. 33-9186; 34-63874, proposed removing references to credit ratings from nationally recognized statistical rating agencies (NRSROs) in certain of its rules and forms under the Securities Act of 1933, as amended (the Securities Act), and the Securities Exchange Act of 1034, as amended (the Exchange Act).
United States
25 Feb 2011
12
U.S. Securities And Exchange Commission Proposes Net Worth Standard For Accredited Investors
The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) required that the definition of "accredited investor" in rules issued under the Securities Act of 1933 (Securities Act) exclude the value of a natural personís primary residence for purposes of determining whether a natural person has a net worth in excess of $1 million.
United States
1 Feb 2011
13
Preparing for the 2011 Proxy and Annual Report Season
With the end of 2010 approaching, it is time to prepare for the 2011 proxy and annual report season.
United States
22 Nov 2010
14
U.S. Securities and Exchange Commission Proposes Say-On-Pay and Vote Reporting Rules
On October 18, 2010, the Securities and Exchange Commission (SEC) issued Release Nos. 33-9153; 34-63124, "Shareholder Approval of Executive Compensation and Golden Parachute Compensation" (Say-On-Pay Proposal), which proposes regulations to implement advisory votes giving shareholders: A "say-on-pay" for executive officer compensation; Input on the frequency of such say-on-pay; and A say-on-pay for "golden parachutes" in the context of change in control transactions.
United States
3 Nov 2010
15
U.S. Securities and Exchange Commission Grants Stay of Effectiveness of Proxy Access Rules
On October 4, 2010, the Securities and Exchange Commission (SEC) granted a stay of its proxy access rules pending resolution of the petition that Business Roundtable and the Chamber of Commerce of the United States of America filed with the U.S. Court of Appeals for the District of Columbia Circuit seeking review of the such rules.
United States
5 Oct 2010
16
US Securities and Exchange Commission Proposes New Short-Term Borrowings Disclosure
On September 17, 2010, the Securities and Exchange Commission (SEC) unanimously approved Release Nos. 33-9143; 34-62932 (the Proposing Release), proposing a new, separately captioned subsection of Managementís Discussion and Analysis of Financial Condition and Results of Operations (MDA) that would contain detailed quantitative and qualitative information about a registrantís short-term borrowings for annual and quarterly periods.
United States
4 Oct 2010
17
US Securities and Exchange Commission Issues MD&A Interpretive Guidance
On September 17, 2010, the Securities and Exchange Commission (SEC) issued Release Nos. 33-9144; 34-62934 (the Interpretive Release), providing interpretive guidance on the presentation of the following aspects of liquidity and capital resources disclosures in managementís discussion and analysis of financial condition and results of operations (MD&A):
United States
23 Sep 2010
18
Implications of the Dodd-Frank Act for Investment Advisers
The Private Fund Investment Advisers Registration Act of 2010 (the "Registration Act"), contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), both expands and contracts the potential universe of types of investment advisers subject to registration with the Securities and Exchange Commission (the "SEC") under the Investment Advisers Act of 1940 (the "Advisers Act").
United States
17 Sep 2010
19
U.S. SEC Adopts Proxy Access Rules
On August 25, 2010, the U.S. Securities and Exchange Commission ("SEC" or "Commission"), by a 3-2 vote, adopted final rules (the "Adopting Release") on facilitating shareholder director nominations through issuer proxy statements, culminating years of consideration of this issue.
United States
9 Sep 2010
20
U.S. Securities and Exchange Commissionís Proxy Plumbing Concept Release
On July 14, 2010, the Securities Exchange Commission issued its long-awaited "Concept Release on the U.S. Proxy System.
United States
19 Aug 2010
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