Mary Mullany

Mary Mullany

Ballard Spahr LLP

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SEC Proposed Rule 10D-1 Regarding Clawback Policies

The Securities and Exchange Commission (SEC) recently proposed rules requiring national securities exchanges such as the New York Stock Exchange and NASDAQ to establish listing standards requiring publicly traded companies to...more

7/13/2015 - Clawbacks Comment Period Disclosure Requirements Executive Compensation Incentive Compensation Look-Back Measurement Period Publicly-Traded Companies Rule 10D-1 Sarbanes-Oxley SEC

NYSE MKT Amends Rules on How Listed Companies May Disclose Material News

Recent amendments to the NYSE MKT Company Guide provide that NYSE MKT-listed companies can comply with that Exchange’s immediate release policy by disseminating required information using any method or combination of methods...more

7/9/2015 - NYSE Press Releases Publicly-Traded Companies Regulation FD SEC Traditional News

SEC Proposes Long Awaited Crowdfunding Rules

The Securities and Exchange Commission recently voted unanimously to propose rules that, for the first time, would allow investors to buy stock in companies over the Internet using a crowdfunding exchange. The proposed rules...more

10/28/2013 - Crowdfunding JOBS Act SEC Securities Act of 1933

SEC Issues Proposed Rule on Pay Ratio Disclosure

On Sept. 18, 2013, the Securities and Exchange Commission (SEC) issued its proposed rule on the CEO-to-median employee pay ratio disclosure. This proposed rule adds disclosure requirements to Item 402 of Regulation S-K, as...more

9/23/2013 - CEOs Disclosure Requirements Dodd-Frank Pay Ratio Regulation S-K SEC Wages

SEC Acts To Eliminate Prohibition on General Solicitation and Expand 'Bad Actor' Disqualifications

The Securities and Exchange Commission (SEC) took long-awaited action on July 10, 2013, to finalize and adopt new rules that eliminate the current prohibition against general solicitation and advertising in certain Rule 506...more

7/12/2013 - Advertising Compliance Dodd-Frank General Solicitation JOBS Act Private Placements Regulation D Robocalling Rule 506 Offerings SEC

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