Securities and Exchange Commission (SEC), Transparency, Clawbacks

Unlocking the Power of Equity-Based Incentive Compensation: Special Considerations for Publicly-Traded Companies

Foley & Lardner LLP on 12/19/2024

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

Compliance Dates Are Set: A Roadmap for Private Fund Advisers to Start Preparing for the SEC’s New Rules for Private Fund Advisers

Mintz on 10/9/2023

The US Securities and Exchange Commission (“SEC”) recently finalized sweeping new rules for private fund advisers (the “PFA Rules”) under the Investment Advisers Act of 1940, as amended (the “Advisers Act”). The PFA Rules...more

New SEC Rules Enhance Regulation of Private Fund Advisers

Holland & Hart LLP on 9/15/2023

Recently, the Securities and Exchange Commission (the “SEC”) adopted much anticipated rules under the Investment Advisers Act of 1940 (the “Advisers Act”) aimed at (i) bolstering the regulation of private fund advisers and...more

Significant New Private Fund Rules Adopted by SEC

ArentFox Schiff on 9/12/2023

On August 23, 2023, in its efforts to promote transparency for investors by increasing visibility into compensation schemes, sales practices, and conflicts of interest, the US Securities and Exchange Commission (SEC) adopted...more

SEC Adopts Sweeping New Private Fund Adviser Rules

Jackson Walker on 9/6/2023

On August 23, 2023, the U.S. Securities and Exchange Commission (“SEC”), by a party-line vote of 3-2, adopted new rules applicable to investment advisers to private funds (“Private Fund Advisers”) that address transparency,...more

SEC Adopts Final Private Fund Adviser Rules

Cozen O'Connor on 8/30/2023

On August 23, 2023, the Securities and Exchange Commission (SEC) voted three to two (Commissioners Peirce and Uyeda dissenting) to adopt new and amended rules (Final Rules) under the Investment Advisers Act of 1940 (Advisers...more

SEC Adopts New Executive Compensation Clawback and Disclosure Rule

Sheppard Mullin Richter & Hampton LLP on 10/27/2022

The U.S. Securities and Exchange Commission (“SEC”) voted on Wednesday to adopt a new rule requiring companies listed on a national securities exchange to claw back incentive-based executive compensation that was erroneously...more

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