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Searching Content indexed under Consumer Protection by Laura Richman ordered by Published Date Descending.
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1
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
2
US Securities And Exchange Commission Proposes Pay Versus Performance Disclosure Rule
The US Securities and Exchange Commission has proposed a "pay versus performance" rule in accordance with a Dodd-Frank Wall Street Reform and Consumer Protection Act mandate.
United States
14 May 2015
3
US Securities and Exchange Commission Proposes Hedging Disclosure Rules
On February 9, 2015, the US Securities and Exchange Commission (SEC) proposed rules requiring disclosure of hedging by employees, officers and directors
United States
24 Feb 2015
4
Securities Exchange Commission Proposes Pay Ratio Disclosure Rules
On September 18, 2013, pursuant to a mandate of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the U.S. Securities and Exchange Commission, by a 3 to 2 vote, proposed pay ratio disclosure rules.
United States
4 Oct 2013
5
Preparing For The 2014 Proxy And Annual Reporting Season
While the proxy and annual reporting season for calendar year public companies typically heats up in the winter, by autumn preparations for the 2014 season should be underway.
United States
3 Oct 2013
6
SEC Adopts Compensation Committee Listing Standards And Compensation Consultant Disclosure Rules
The U.S. Securities and Exchange Commission (SEC) has adopted its "Listing Standards for Compensation Committees.
United States
29 Jun 2012
7
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
8
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
9
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
10
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
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