Other Dodd-Frank Related Topics
- SEC Approves NYSE and Nasdaq Rules on Independence of Compensation Committees and Advisers; Committees Must Be Given Expanded Authority by July 1, 2013 (S&C memo, January 17, 2013)
- Recent 2013 Proxy Season Developments (S&C memo, October 22, 2012)
- Exchanges Propose Compensation Committee Independence Standards (S&C memo, October 2, 2012)
- Say-on-Pay – Review of 2012 Proxy Season Results (S&C memo, July 17, 2012)
- SEC Finalizes Guidance to Stock Exchanges on Compensation Committee and Adviser Independence (S&C memo, June 22, 2012)
- SEC Proposes a Broad Range of Amendments to Implement Dodd-Frank Act Provisions Relating to Credit Rating Agencies (S&C memo, July 8, 2011)
- Reminder: Golden Parachute Disclosure and Votes Required for Initial Filings Beginning Next Monday (S&C memo, April 19, 2011)
- U.S. Agencies Seek Comment on Proposed Joint Rule on Financial Institution Compensation (S&C memo, April 14, 2011)
- SEC Proposes Guidance to Stock Exchanges on Compensation Committee and Adviser Independence (S&C memo, April 1, 2011)
- SEC Proposes Rules on Registration of Security-Based Swap Execution Facilities (S&C memo, March 21, 2011)
- Financial Regulators Propose Rules for Incentive Pay at Large Financial Institutions: For America’s Biggest Financial Institutions, Deferral and Clawback of Executive Incentive Pay Required (S&C memo, February 17, 2011)
- Final Say-on-Pay and Say-on-Golden Parachute Rules: Benefits of Voluntary Annual Golden Parachute Disclosure Continue to Be Limited (S&C memo, January 31, 2011)
- Swap Execution Facility Requirements: CFTC Proposes Rules for Swap Execution Facility Requirements (S&C memo, January 21, 2011)
- Frank Aquila and Brian Hamilton Co-Author “Dodd-Frank, Beyond Financial Regulation: What Lawyers Need to Watch” (November 2010)
- SEC Proposes Say-on-Pay and Golden Parachute Rules for Proxy Statements (S&C memo, October 22, 2010)
- SEC Issues Proposed Rules to Mitigate Potential Conflicts of Interest in the Operation of Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities and Security-Based Swap Exchanges and an Interim Final Temporary Rule Regarding Reporting of Pre-Enactment Security-Based Swap Transactions (S&C memo, October 20, 2010)
- CFTC Issues Proposed Rule under the Dodd-Frank Act on Financial Resource Requirements for DCOs and SIDCOs, as well as a Proposed Rule to Mitigate Potential Conflicts of Interest in the Operation of DCOs, DCMs and SEFs and an Interim Final Rule Regarding Reporting of Pre-Enactment Swap Transactions (S&C memo, October 8, 2010)
- House of Representatives Approves Corporate Governance and Securities Reform: Includes Say on Pay, Votes on Golden Parachutes, Disclosure of Institutional Investor Voting, Clawbacks, Compensation Committee and Adviser Independence, and Limiting Broker Non-Votes (S&C memo, July 6, 2010)
- U.S. Banking Regulators Issue Final Guidance on Incentive Compensation: Federal Reserve, OCC, OTS and FDIC Jointly Issue Final Guidance to Ensure that Incentive Compensation Policies Do Not Undermine the Safety and Soundness of Banking Organizations by Encouraging Imprudent Risk-Taking (S&C memo, June 25, 2010)
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