In late September, the SEC announced a sweep of settled charges for late beneficial ownership and insider transaction filings, including over $3.8 million in penalties against individuals and companies. This sweep was similar...more
On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) adopted final rules implementing Section 954 of the Dodd‑Frank Act. The final rules were published in the Federal Register on November 28, 2022...more
12/6/2022
/ Clawbacks ,
Corporate Counsel ,
Corporate Governance ,
Department of Justice (DOJ) ,
Disclosure Requirements ,
Dodd-Frank ,
Executive Compensation ,
Final Rules ,
Financial Statements ,
Publicly-Traded Companies ,
Section 10D ,
Securities and Exchange Commission (SEC)
The U.S. Securities and Exchange Commission on July 22, 2020, adopted final amendments to its proxy solicitation rules to codify the SEC’s longstanding view that proxy voting advice generally constitutes a solicitation within...more
8/12/2020
/ Anti-Fraud Provisions ,
Disclosure Requirements ,
Filing Requirements ,
Investment Adviser ,
Proposed Rules ,
Proxy Advisors ,
Proxy Season ,
Proxy Solicitations ,
Proxy Voting Guidelines ,
Safe Harbors ,
Securities and Exchange Commission (SEC)