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Institutional Shareholder Services Releases White Paper on Evaluating Pay for Performance

In response to investor feedback on the issue of pay-for performance, which indicated a preference for putting the focus on long-term alignment, board decision-making, and pay relative to both market peers and to absolute shareholder returns, Institutional Shareholder Services has published a white

Originally Published:

Tuesday, December 20, 2011

Institutional Shareholder Services Releases 2012 Proxy Voting Policies

Institutional Shareholder Services Inc. has released 2012 updates to its U.S., Canadian, European, and international benchmark proxy voting guidelines.

Originally Published:

Thursday, November 17, 2011

SEC Report on Review of Reliance on Credit Ratings

The Securities and Exchange Commission has issued its report on the reliance on credit ratings, as required by Section 939A(c) of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010.

Originally Published:

Thursday, July 21, 2011

SEC Proxy Access Rule Vacated

On July 22, 2011, in Business Roundtable & Chamber of Commerce of the United States of America v. Securities & Exchange Commission, No. 10-1305 (D.C. Cir. July 22, 2011), a three-judge panel of the U.S.

Originally Published:

Tuesday, September 6, 2011

CFTC-SEC Release Joint Study on International Swap Regulation

Commodity Futures Trading Commission and the Securities and Exchange Commission have jointly conducted a study on how swaps and security-based swaps are regulated in the United States, Asia, and Europe.

Originally Published:

Tuesday, January 31, 2012

CFTC-SEC Release Joint Study on the Feasibility of Mandating Algorithmic Descriptions for Derivatives

The Commodity Futures Trading Commission and the Securities and Exchange Commission jointly study the feasibility of requiring the derivatives industry to adopt standardized computer-readable algorithmic descriptions which may be used to describe complex and standardized financial derivatives, and t

Originally Published:

Thursday, April 7, 2011

SEC Seeks Public Comment for Financial Literacy Study Mandated by Dodd-Frank Act

The Securities and Exchange Commission is seeking consultation on methods to improve the timing, content, and format of disclosures to investors regarding financial intermediaries, investment products, and investment services.

Originally Published:

Wednesday, January 18, 2012

SEC Adopts Net Worth Standard for Accredited Investors Under Dodd-Frank Act

In accordance the requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has amended its rules to exclude the value of a person’s home from net worth calculations used to determine whether an individual may be classified as an “acc

Originally Published:

Wednesday, December 21, 2011

SEC Approves New Rules to Toughen Listing Standards for Reverse Merger Companies

The Securities and Exchange Commission has approved new rules of NASDAQ, NYSE, and NYSE Amex that toughen the standards that companies going public through a reverse merger must meet to become listed on those exchanges.

Originally Published:

Wednesday, November 9, 2011

SEC Approves Confidential Private Fund Risk Reporting

In accordance the requirements of Sections 404 and 406 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2010, the Securities and Exchange Commission has approved a new rule requiring certain advisers to hedge funds and other private funds to report information for use by the Financi

Originally Published:

Wednesday, October 26, 2011

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