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Securities Exchange Act › Bundling Rules

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Morrison & Foerster LLP

Just in Time for Proxy Season, SEC Provides New Guidance on Shareholder Proposal “Unbundling”

Morrison & Foerster LLP on

The U.S. Securities and Exchange Commission (SEC) staff recently issued several Compliance and Disclosure Interpretations (C&DIs) providing guidance as to when it is permissible under Rule 14a-4(a)(3) (and its companion rule,...more

Katten Muchin Rosenman LLP

SEC Division of Corporation Finance Issues Three C&DIs Relating to “Unbundling Rule”

Katten Muchin Rosenman LLP on

On January 24, the Securities and Exchange Commission’s Division of Corporation Finance issued three new Compliance and Disclosure Interpretations (C&DIs) with respect to the SEC’s so-called unbundling rule (Rule 14a-4(a)(3)...more

Parker Poe Adams & Bernstein LLP

Proxy Statement Unbundling–New Guidance for an Old Rule

Parker Poe Adams & Bernstein LLP on

With the recent emphasis on proxy statement compensation disclosure, director independence and corporate governance, little attention has been paid to another issue that can delay your proxy statement mailing schedule and...more

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