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Searching Content indexed under Directors and Officers by Laura Richman ordered by Published Date Descending.
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1
Mitigating The Impact Of A Material Weakness On The Election Of Directors
Where companies have disclosed repeated or ongoing material weaknesses in internal controls over financial reporting, or where a company's first material weakness requires a restatement
United States
10 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 Staff Legal Bulletin No. 14J Provides Additional Shareholder Proposal Guidance
On October 23, 2018, the staff (Staff) of the Division of Corporation Finance of the US Securities and Exchange Commission (SEC) issued Staff Legal Bulletin No. 14J (SLB 14J)
United States
5 Nov 2018
4
Preparing For The 2013 Proxy And Annual Reporting Season
The time has come for calendar year public companies to begin planning for the 2013 proxy and annual reporting season.
United States
16 Oct 2012
5
SEC Advises on Proxy Card Presentation of Say-On-Pay Vote
On February 13, 2012, the staff of the US Securities Exchange Commission’s 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
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. Court of Appeals Vacates SEC’s 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 Commission’s proxy access rule. Rule 14a-11 provided a means for shareholders to use a company management’s 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
8
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
9
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
10
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
11
U.S. Securities and Exchange Commission’s 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
12
E-Proxy Amendments
The US Securities and Exchange Commission has amended its rules requiring Internet availability of proxy materials, often referred to as the e-proxy rules, and has provided guidance concerning certain requirements under those rules.
United States
8 Mar 2010
13
US Securities and Exchange Commission Adopts Executive Compensation and Other Disclosure Changes
On December 16, 2009, the US Securities and Exchange Commission (the "SEC") adopted rule changes set forth in Release Nos. 33-9089; 34-61175; IC-29092, titled "Proxy Disclosure Enhancements" (the "Adopting Release").
United States
6 Jan 2010
14
US Securities and Exchange Commission Approves Proxy and Other Disclosure Changes
On December 16, 2009, the US Securities and Exchange Commission (SEC) adopted Release Nos. 33-9089; 34-61175; IC-29092, containing the final rule changes on proxy disclosure requirements that will be effective for the 2010 annual reporting and proxy season.
United States
22 Dec 2009
15
US SEC Approves NYSE Corporate Governance Amendments
On November 25, 2009, the Securities and Exchange Commission approved amendments to the New York Stock Exchange’s corporate governance listing standards that the NYSE filed with the SEC on August 26, 2009, and amended on September 10, 2009. See Release No. 34-61067 at http://www.sec.gov/rules/sro/nyse/2009/34-61067.pdf.
United States
7 Dec 2009
16
US SEC Staff Offers Guidance On Exclusion of Shareholder Proposals from Company Proxy Statements
Rule 14a-8(i) of the Securities Exchange Act of 1934 provides a list of the permitted, non-procedural reasons for an issuer to exclude a shareholder proposal from its proxy statement.
United States
4 Nov 2009
17
Proposed E-Proxy Amendments
On October 14, 2009, the US Securities and Exchange Commission proposed amendments to its rules requiring Internet availability of proxy materials, often referred to as the e-proxy rules, and provided guidance concerning certain requirements under the present rules.
United States
21 Oct 2009
18
US Securities and Exchange Commission Proposes Proxy and Other Disclosure Changes
On July 10, 2009, the US Securities and Exchange Commission (the “SEC”) issued proposed rule changes in Release Nos. 33-9052; 34-60280, titled “Proxy Disclosure and Solicitation Enhancements,” available at http://www.sec.gov/rules/proposed/2009/33-9052.pdf, (the “Proposal”).
United States
23 Jul 2009
19
Amendment of NYSE Rule 452: Elimination of Broker Discretionary Voting in Director Elections
On July 1, 2009, the US Securities and Exchange Commission approved the New York Stock Exchange’s amendment to Rule 452, eliminating the ability of brokers to vote in their discretion with respect to elections of directors.
United States
6 Jul 2009
20
NYSE And NASDAQ Amend Director Independence Bright Line Tests
The New York Stock Exchange and the NASDAQ Stock Market have modified several of their bright line tests for determining director independence pursuant to their respective corporate governance listing standards.
United States
18 Aug 2008
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