The Dodd-Frank Wall Street Reform and Consumer Protection Act, which was enacted in 2010 in response to the 2008 financial crisis, added protections for whistleblower activity to the Securities Exchange Act of 1934 (“Exchange...more
1/16/2025
/ Compliance ,
Confidential Information ,
Corporate Governance ,
Corporate Misconduct ,
Dodd-Frank ,
Employment Policies ,
Enforcement Actions ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Securities Regulation ,
Whistleblowers
This article is the seventh and final in our series on equity-based compensation. It will provide an overview of special considerations for publicly-traded companies when granting equity awards, including the impact of proxy...more
12/19/2024
/ Clawbacks ,
Compensation ,
Compliance ,
Derivatives ,
Dividends ,
Glass Lewis ,
Incentives ,
Insider Trading ,
Institutional Shareholder Services (ISS) ,
Investors ,
Publicly-Traded Companies ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Stocks ,
Transparency ,
Vesting
On August 25, 2022, the Securities and Exchange Commission (SEC) adopted final pay-versus-performance disclosure rules for publicly traded companies. These rules will require three new disclosures in upcoming proxy and...more
On August 25, 2022, the SEC adopted final pay versus performance disclosure rules. The breadth and complexity of the new rules require that companies begin to prepare the new disclosures now to provide enough time for data...more
9/20/2022
/ Compensation ,
Data Collection ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Final Rules ,
GAAP ,
Pay-for-Performance ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Shareholders ,
Total Shareholder Return (TSR)
Stock option grant practices have been the subject of recent guidance from the Securities and Exchange Commission (SEC), and continue to be scrutinized by various parties for compliance with the tax requirements of the...more
5/19/2022
/ Best Practices ,
Compliance ,
Grants ,
IRS ,
Nasdaq ,
Privately Held Corporations ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Exchange Act of 1934 ,
Stock Options ,
Valuation