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Searching Content indexed under Finance and Banking by Thomas Murphy ordered by Published Date Descending.
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SEC Approves Changes To Private Offering Rules And Adopts New "Bad Actor" Prohibitions; Proposes Additional Changes To Better Monitor Private Offering Market
The U.S. Securities and Exchange Commission recently approved changes to Rule 506 of Regulation D under the Securities Act of 1933 to implement the elimination, mandated by the Jumpstart Our Business Startups Act.
United States
25 Jul 2013
2
Public Company Priorities For The New Year
Looking ahead to 2013, directors, executives and general counsel of public companies can take some solace from the fact that 2012 was not a year in which a large number of significant new disclosure rules or governance requirements were adopted by the SEC or the stock exchanges as had regularly been the case in the prior 10 years.
United States
31 Dec 2012
3
Newly Enacted Jobs Legislation Should Encourage Initial Public Offerings
On April 5, 2012, President Obama signed the Jumpstart Our Business Startups (JOBS) Act (the Act).
United States
13 Apr 2012
4
SEC Adopts Final Rules On Dodd-Frank Whistleblower Program
Rules recently adopted by the U.S. Securities and Exchange Commission define the scope and procedures of the whistleblower provisions under the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
27 May 2011
5
SEC Adopts Final Rules On Say-On-Pay, Say-On-Frequency And Say-On-Parachutes
The SEC recently adopted final rules regarding shareholder advisory votes on executive compensation , the frequency of say-on-pay votes and golden parachute arrangements.
United States
1 Feb 2011
6
The Effects of the Dodd-Frank Financial Reform Law on Executive Compensation: What You Need to Know
Early planning for the 2011 proxy season will be needed to address the increased scrutiny of executive compensation that will result under the Dodd-Frank financial reform law.
United States
22 Jul 2010
7
Dodd-Frank Wall Street Reform and Consumer Protection Act: Immediate Impact on Regulation D Offerings to Individual Accredited Investors
On July 15, 2010, the U.S. Senate passed the Dodd-Frank Wall Street Reform and Consumer Protection Act (Act). President Obama is expected to sign the Act into law during the week of July 19, 2010.
United States
20 Jul 2010
8
Effects Of The New Compensation And Corporate Governance Rules On The 2010 Proxy Season
On December 16, 2009, the U.S. Securities and Exchange Commission (SEC) adopted final rules that augment and revise the compensation and corporate governance disclosure requirements applicable to U.S. public companies.
United States
20 Jan 2010
9
U.S. Public Companies Advised to Prepare Now for Revamped SEC Executive Compensation Disclosure Requirements
On January 27, 2006, the U.S. Securities and Exchange Commission (SEC) proposed significant changes to the rules governing public company disclosure of executive and director compensation arrangements and related party transactions.
United States
2 Jun 2006
10
SEC Proposes Amendments To Tender Offer "All-Holders, Best-Price" Rule
On December 14, 2005, the U.S. Securities and Exchange Commission (SEC) proposed amendments to the tender offer "all-holders, best-price" rule (contained in rules 14d-10 and 13e-4 under the Exchange Act), which currently requires that "consideration paid to any security holder pursuant to a tender offer is the highest consideration paid to any other security holder during such tender offer."
United States
13 Jan 2006
11
Two Years Later Ė A Recap of The Sarbanes-Oxley Act of 2002 And Related SEC Rulemaking
The Sarbanes-Oxley Act of 2002 (Sarbanes-Oxley) was enacted at a time of remarkable turmoil for corporate America.
United States
1 Sep 2004
12
SECís Proposal to Register Private Fund Investment Advisers
Many investment advisers to hedge funds, private equity funds and other investment funds currently qualify for exemption from the registration as an investment adviser under the Investment Advisers Act of 1940 (Advisers Act).
United States
20 Aug 2004
13
A General Counselís Guide To Avoiding "Obstruction Of Justice" Liability
The successful prosecutions of Martha Stewart and Frank Quattrone highlight the increased risk corporate executives face from "obstruction of justice" and similar offenses.
United States
9 Jun 2004
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