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Searching Content indexed under Compliance by Laura Richman ordered by Published Date Descending.
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Follow-Up On Regulation S-K Modernization And Simplification
As described in our Legal Update "SEC Adopts Rules to Modernize and Simplify Disclosure," dated March 27, 2019,1 the US Securities and Exchange Commission (SEC) ...
United States
16 Apr 2019
2
SEC Adopts Dodd-Frank Hedging Disclosure Rule
On December 18, 2018, the US Securities and Exchange Commission (SEC) adopted a final rule requiring companies to disclose their hedging policies and practices for employees,
United States
4 Jan 2019
3
SEC Adopts Inline XBRL Rule
The US Securities and Exchange Commission (SEC) has adopted amendments requiring the use of the Inline eXtensible Business Reporting Language (XBRL) ...
United States
26 Jul 2018
4
SEC Guidance On Non-GAAP Financial Measures
On May 17, 2016, the Division of Corporation Finance of the US SEC issued a dozen new and updated Compliance and Disclosure Interpretations (C&DIs) on the use of non-GAAP financial measures.
United States
13 Sep 2016
5
Nasdaq Compensation Committee Requirements
Nasdaq recently amended its rules regarding compensation committee independence, bringing them more in line with the corresponding rules of the New York Stock Exchange.
United States
8 Jan 2014
6
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
7
SEC Advises on Proxy Card Presentation of Say-On-Pay Vote
On February 13, 2012, the staff of the US Securities Exchange Commissionís Division of Corporation Finance issued the following Compliance and Disclosure Interpretation addressing how the advisory say-on-pay vote should be presented on proxy cards:
United States
16 Feb 2012
8
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
9
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
10
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
11
Upcoming XBRL Compliance Dates
Phase-in compliance dates are fast approaching for when financial statements filed with the U.S. Securities and Exchange Commission (SEC) must be in interactive data format using the eXtensible Business Reporting Language (XBRL).
United States
27 May 2010
12
Maintaining a Shelf Registration Statement Following Loss of WKSI Status
A registrant that qualifies as a "well-known seasoned issuer" (WKSI) is able to sell securities pursuant to an automatic shelf registration statement.
United States
2 Feb 2009
13
SEC Extends Emergency Order Relaxing Issuer Repurchase Rule
The Securities and Exchange Commission has extended its emergency order that relaxes the conditions that issuers and affiliated purchasers must meet to qualify for the Rule 10b-18 safe harbor for issuer share repurchases.
United States
6 Oct 2008
14
SEC issues Updated Guidance On Company Web Sites
The Securities and Exchange Commission has issued an interpretative release titled "Commission Guidance on the Use of Company Web Sites" (Release No. 34-58288), (the "Interpretative Release").
United States
13 Aug 2008
15
SEC Proposes New Rules That Would Mandate Use Of Interactive Data To Improve Financial Reporting
The Securities and Exchange Commission has issued its proposing release on Interactive Data to Improve Financial Reporting. The proposed rules would require financial statement information to be filed in an interactive data format known as XBRL (short for extensible business reporting language), with the financial data "tagged" so that it is machine readable in a manner similar to bar codes.
United States
27 Jun 2008
16
Mandatory Use Of Interactive Financial Data Proposed For SEC Filings
On May 14, 2008, the Securities and Exchange Commission proposed a requirement that corporate financial statement information be filed with the SEC in an interactive data format known as XBRL (short for extensible business reporting language).
United States
16 May 2008
17
SECís Division Of Corporation Finance Issues Consolidated and Updated Interpretations On Form 8-K
The Securities and Exchange Commissionís Division of Corporation Finance has posted a consolidated set of interpretations on the filing requirements for Current Reports on Form 8-K, as last updated April 10, 2008.
United States
29 Apr 2008
18
Advance Planning For 2008 Proxy And Annual Report Season
For public companies with calendar year-ends, the preparations for the proxy statement and annual report typically intensify later in the fall, continuing through the winter.
United States
12 Oct 2007
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