Proposing release

Comments Extended on Three Dodd-Frank Proposals

Melissa Aguilar January 28, 2011

The Securities and Exchange Commission has extended the comment period for three rule proposals stemming from the Dodd-Frank Act that would require specialized new disclosures. The comment deadline for the proposals—which pertain to conflict minerals, mining, and government payments by extraction companies—was pushed from Jan. 31 to March 2.

Dodd-Frank Whistleblower Proposals Arrive

Melissa Klein Aguilar November 03, 2010

Let the comments commence: Compliance professionals finally have the details of the Securities and Exchange Commission's proposed rules to pay whistleblowers who report securities violations.The proposals, detailed in a 181-page release published for comment Nov. 3, implement the Dodd-Frank mandate to set up a program to pay awards of up...

Corp Fin Director on Dodd-Frank, Pay Rulemaking

Melissa Klein Aguilar October 26, 2010

Those interested in the governance and pay-related provisions under the Dodd-Frank Act got an update on the Securities and Exchange Commission's progress and plans for putting those rules in place, courtesy of the head of the agency's Division of Corporation Finance.With the say-on-pay rulemaking proposals now out for comment, the...

SEC Proposes Say-on-Pay, Proxy Vote Reporting Rules

Melissa Aguilar October 19, 2010

They're here: The Securities and Exchange Commission has proposed rules requiring companies subject to the federal proxy rules to give shareholders advisory votes on executive compensation and "golden parachute" arrangements, and to require institutional investment managers to report on their votes on executive compensation and "golden parachute" arrangements.That's in line...

SEC Dodd-Frank Derivatives, ABS Rulemaking Underway

Melissa Aguilar October 18, 2010

The Securities and Exchange Commission has begun a wave of Dodd-Frank Act-mandated rulemaking aimed at closing the regulatory gaps in the over-the-counter derivatives market and giving investors better information about the loans backing asset-backed securities.The reform law requires the Commission to issue a slew of rules to bring the complex...

Must-Read: Major HIPAA Changes Out for Comment

Melissa Aguilar July 09, 2010

Healthcare compliance officers take note: Sweeping changes to the privacy rules under the Health Insurance Portability and Accountability Act are out for comment.The Department of Health and Human Services has published proposed rulemaking that will significantly modify the HIPAA Privacy, Security, and Enforcement Rules. The proposals are out for a...

Canadian e-Proxy Proposal Out for Comment

Melissa Aguilar May 19, 2010

Canadian securities regulators are eyeing updates to their rules governing issuer communications with beneficial owners who hold securities through intermediaries, including their own version of e-proxy.The Canadian Securities Administrators are seeking comment on proposed rule changes that, among other things, would allow a new "notice-and-access" model similar to the e-proxy...

Roundup of SEC News, Happenings for the Week

Melissa Aguilar January 15, 2010

It was another busy week at the Securities and Exchange Commission.In addition to the new cooperation tools and policy statement and the ramp up of the new specialized enforcement units and Office of Market Intelligence previously reported, SEC Chair Mary Schapiro testified before the Financial Crisis Inquiry Commission on her...

SEC Proposes Amendments to Rule 163 to Help WKSIs

Melissa Aguilar December 23, 2009

The Securities and Exchange Commission has proposed amendments to make it easier for some large companies to communicate with broader groups of potential investors and gauge the level of interest in the market for their securities offerings.Proposed amendments to Rule 163 under the Securities Act would allow companies that are...

SEC Proposes Changes, Guidance on E-Proxy Rules

Melissa Aguilar October 16, 2009

The Securities and Exchange Commission has proposed changes to its proxy rules aimed at improving the notice-and-access model for furnishing proxy materials to shareholders, allowing more flexibility regarding the format of the Notice sent to shareholders and giving guidance on the Notice requirements.The SEC is also proposing a new rule...

SEC Proposing Release Posted

Melissa Aguilar July 10, 2009

The Securities and Exchange Commission has posted the details of its rule proposal on proxy disclosure and solicitation enhancements.The 137-page proposing release fleshes out the details of—and asks dozens of questions about—the proposals unveiled at the July 1 open meeting, as previously reported.Among other things, the proposed amendments would expand the disclosures companies are...

Proxy Access Proposal Posted, Let the Comments Begin

Melissa Aguilar June 11, 2009

The Securities and Exchange Commission has posted the text of its proposal to amend to its proxy rules to require companies, in certain cases, to include in their proxy materials shareholder director nominees who meet specified requirements.The 250-page proposing release seeks comment on more than 170 questions. Comments are due...

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