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Searching Content indexed under Securities by Knute Salhus ordered by Published Date Descending.
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Overview Of Securities Law Provisions Of The FAST Act
On December 4, 2015, President Obama signed into law the Fixing America's Surface Transportation Act. The FAST Act, which is aimed principally at authorizing spending on highway and transit projects, includes several amendments to the Jumpstart Our Business Startups Act (JOBS Act) and other securities law provisions, some of which are effective immediately.
United States
11 Dec 2015
2
SEC Proposes Compensation Clawback Rules
•As mandated by the Dodd-Frank Act, the Securities and Exchange Commission has proposed rules requiring national securities exchanges to require listed companies to develop, implement and disclose policies to recover excess incentive-based compensation paid to executive officers.
United States
16 Jul 2015
3
SEC Proposes Dodd-Frank Pay-Versus-Performance Disclosure Rules
On April 29, 2015, the Securities and Exchange Commission (SEC) voted 3-2 to propose new rules requiring companies to disclose the relationship between executive compensation "actually paid" and the company's "financial performance."
United States
9 May 2015
4
SEC Adopts Rules To Implement Regulation A+, Providing New Avenue For Capital Formation
On March 25, 2015, the Securities and Exchange Commission (SEC) adopted amendments to Regulation A (Regulation A+) pursuant to Section 401 of the Jumpstart Our Business Startups Act (JOBS Act) for offers and sales of up to $50 million of securities annually.
United States
5 May 2015
5
SEC Proposes Hedging Disclosure Rules
On February 9, 2015, the Securities and Exchange Commission proposed rules requiring companies to disclose whether directors, officers and other employees, or any of their designees, are permitted to hedge or otherwise engage in transactions to offset any decrease in the market value of equity securities of the company.
United States
16 Feb 2015
6
SEC's Division of Corporation Finance Staff to Express "No View" on Conflicting Shareholder Proposals This Proxy Season
On Friday, January 16, the Securities and Exchange Commission (SEC) issued a statement from Chair Mary Jo White directing the SEC staff to review the application of Exchange Act Rule 14a-8(i)(9), the rule that allows a company to exclude a shareholder proposal on the basis that it conflicts with a management proposal.
United States
21 Jan 2015
7
Keeping Current: SEC Enforcement Actions Emphasize Importance Of Stock Ownership Reporting Obligations For Public Companies And Insiders
On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors, and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
8 Dec 2014
8
SEC Enforcement Actions Emphasize Importance Of Stock Ownership Reporting Obligations For Public Companies And Insiders
On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 28 officers, directors and major stockholders of public companies for violating Section 16(a) and/or Section 13(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act).
United States
9 Oct 2014
9
SEC Proposes Rules for Pay Ratio Disclosure
At an open meeting on September 18, 2013, by a 3-2 vote, the Securities and Exchange Commission proposed a new rule, as mandated by Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act, to require companies to disclose (i) the median of the annual total compensation of all company employees (excluding the company’s principal executive officer), (ii) the annual total compensation of the company’s principal executive officer and (iii) the ratio between the two. A summary
United States
25 Sep 2013
10
United States
15 Jul 2013
11
SEC Adopts JOBS Act And Dodd-Frank Act Private Placement Provisions; Proposes Additional Requirements For Private Placement Market
At an open meeting on July 10, 2013, the Securities and Exchange Commission (SEC): •approved final rules implementing Section 201(a)(1) of the Jumpstart Our Business Startups Act (the JOBS Act) to eliminate the prohibition on general solicitation and advertising for certain offerings made pursuant to Rule 506 of Regulation D of the Securities Act of 1933 (the Securities Act) and Rule 144A under the Securities Act; ...
United States
11 Jul 2013
12
SEC Gives Nod To Use Of Social Media Under Regulation FD—If Done Correctly
On April 2, 2013, the Securities and Exchange Commission (SEC) issued a Report of Investigation.
United States
1 May 2013
13
SEC Takes Next Step To Implement Dodd-Frank Act's Compensation Committee
The SEC has amended existing proxy disclosure requirements and adopted a new rule to implement the provisions of section 952 of the Dodd-Frank Act relating to compensation committees.
United States
10 Jul 2012
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