Joseph M. Miller

Joseph M. Miller

Snell & Wilmer

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SEC Report: Just How Prepared are Broker-Dealers and Advisors for Cyber- Attacks?

On February 3, 2015, the Securities and Exchange Commission’s (“SEC”) Office of Compliance Inspections and Examinations (“OCIE”) published a highly-anticipated summary of its examination sweep of 57 registered broker-dealers...more

3/9/2015 - Broker-Dealer Corporate Governance Cyber Attacks Cybersecurity Data Use Policies Investment Adviser OCIE Popular Risk Assessment SEC

It Takes More Than a Village: Protecting Student Privacy in the Age of Big Data

High-profile data breaches and cyber-attacks on well-known brands and businesses have dominated the news cycle for more than a year. Yet during the same time, less visible, but no less important efforts have been made to...more

2/13/2015 - Barack Obama Data Breach Data Protection Legislative Agendas Public Schools School Districts Student Digital Privacy Act Student Privacy Students

Corporate Communicator - Winter 2015

Dear clients and friends, We present to you our traditional year-end issue of Snell & Wilmer’s Corporate Communicator to help you prepare for the upcoming annual report and proxy season. This issue highlights SEC...more

12/23/2014 - Annual Reports Corporate Governance Proxy Season Reporting Requirements SEC Year-End Planning

NYSE/NASDAQ Update

SEC APPROVES FINAL RULES ON COMPENSATION COMMITTEE LISTING STANDARDS - On January 11, 2013, the SEC approved the NYSE and NASDAQ listing standards implementing Exchange Act Rule 10C-1, which directs the exchanges to...more

1/3/2014 - Audits Compensation Committee Internal Audit Functions Nasdaq NYSE SEC Securities Exchange Act

Corporate Communicator - Winter 2014

2014 ANNUAL MEETING SEASON - Dear clients and friends, We present to you our traditional year-end issue of Snell & Wilmer’s Corporate Communicator to help you prepare for the upcoming annual report and proxy...more

12/30/2013 - Annual Meeting Annual Reports Chief Compliance Officers Compliance Conflict Mineral Rules Corporate Counsel Corporate Governance Dodd-Frank Executive Compensation Nasdaq NYSE Pay Ratio Proxy Season Regulation S-K SEC Shareholders Year-End Planning

Other NYSE/NASDAQ Developments

Non-Executive Employment of Family Members No Longer Precludes Nomination of Non-Independent Directors under “Exceptional and Limited Circumstances” Until recently, a director of a NASDAQ-listed company could serve as an...more

1/7/2013 - Compensation Committee Directors Disclosure Requirements Nasdaq NYSE Shareholders

Doing Business In Arizona - A Legal Guide

Contents: Part I: A Brief Factual Look at Arizona: - Population and Job Growth - Personal Income - Exports - Leading Industries - Location - Business Costs - Labor Force - Education -...more

1/5/2013 - Business Ownership

SEC Update

Final Rules on Compensation Committee Listing Standards - On June 20, 2012, the Securities and Exchange Commission (SEC) adopted Exchange Act Rule 10C-1 implementing listing standard requirements pursuant to Section 952...more

1/4/2013 - Compensation Committee Conflict Mineral Rules Conflicts of Interest Disclosure Requirements Dodd-Frank Listing Standards Nasdaq NYSE SEC

Corporate Communicator - Winter 2013

In This Issue: - 2013 Annual Meeting Season - Dealing with ISS and Other Proxy Advisory Firms this Proxy Season - SEC Update - Other NYSE/NASDAQ Developments - Delaware Law Update — Delaware Court Applies...more

12/29/2012 - Audits Board of Directors Compensation Committee Conflict Mineral Rules Directors Disclosure Requirements Dodd-Frank Executive Compensation Iran Threat Reduction and Syria Human Rights Act ISS Listing Standards Nasdaq NYSE Pay-for-Performance Proxy Season Proxy Voting Guidelines SEC Shareholder Litigation

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