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Investment Adviser › Executive Compensation › Dodd-Frank Wall Street Reform and Consumer Protection Act

Ballard Spahr LLP

Labor and Employment Regulations Potentially Affected by Trump Regulatory Freeze

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The Trump administration's "Regulatory Freeze Pending Review" (Freeze Memo) instructs the heads of federal executive departments and agencies to send no regulation to the Office of Federal Register (OFR) until a presidential...more

Dorsey & Whitney LLP

The SEC Proposes Rules to Address Investment Advisor and Broker-Dealer Incentive Based Compensation

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The SEC recently released a proposed rule pursuant to Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) with respect to the implementation of incentive-based compensation arrangements...more

Goodwin

Financial Services Weekly News Roundup - June 2015 #4

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Regulatory Developments - Client Alert: SEC Proposes Pay for Performance Rules: Goodwin Procter’s Capital Markets practice has issued a Client Alert on the SEC’s proposed rule that would require most public...more

Dechert LLP

SEC Approves Exchanges’ Proposed Rules for Compensation Committees and Their Advisers

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The U.S. Securities and Exchange Commission (“SEC”) formally approved several new listing rules proposed by NASDAQ and the NYSE on January 11, 2013. The new listing rules are designed to bring the listing standards of each...more

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