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Latest Developments

Nasdaq Amends Rules Related to Compensation Committee Composition
Jan 16,2014

"In December 2013, Nasdaq amended its rules related to compensation committee composition to bring them in sync with those applicable to NYSE companies."

Final NYSE Rules for Comp Committees, Consultants, Counsel and Other Advisers
Feb 08,2013

This memo summarizes the NYSE's new listing standards for compensation committee composition and independence. The SEC was required to direct the exchanges to adopt rules in this area under the Dodd-Frank Act. The rules enhance the requirements to establish the independence of compensation committee members and their advisors.

Final Nasdaq Rules for Comp Committees, Consultants, Counsel and Other Advisers
Feb 08,2013

This memo summarizes NASDAQ's new listing standards for compensation committee composition and independence. The SEC was required to direct the exchanges to adopt rules in this area under the Dodd-Frank Act. The rules enhance the requirements to establish the independence of compensation committee members and their advisors.

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Articles

Some Comments on the Pre-Clearance Procedure
Mar 11,2010

In our article “FINRA Reminds Securities Broker-Dealers Of Their Duty Of Due Diligence To Prevent The Public Resale Of ‘Unregistered Securities’ ’’ (Vol 37 Issue 3 Securities Regulation Law Journal 6 at pp. 293–302), we discussed the duty of securities broker-dealers to exercise due diligence to prevent the public resale of “unregistered securities.”

Administration and Governance Challenges Meet Tech Innovation
Feb 04,2020
Jennifer Namazi

Salesforce.com uses tech innovations to solve administration and governance challenges amid growth.

Cybersecurity for Stock Plans
Dec 12,2019
Jennifer Namazi

What companies should know about mitigating cybersecurity risks for their stock plans.

Insider Trading: Who Monitors the Compliance Officer?
Feb 14,2019
Jennifer Namazi

A former Apple lawyer who served as an insider trading compliance officer is charged with insider trading.

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Sample Documents

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Webcasts

The Trump Administration and Compensation
Jun 13,2017

How the New Administration Seeks to Change the Rules

Be Prepared for T+2
Apr 20,2017

Understanding and implementing this upcoming change.

Stock Ownership Guidelines
Jun 17,2015

How to Handle this Governance Golden Child

Podcasts

Surveys & Studies

Regulations & Statutes

NYSE Listing Standard: Compensation Committee Independence
Jan 11,2013

NYSE listing standards relating to compensation committee independence, as updated to comply with Exchange Act Rule 10C-1 (enacted under Section 952 of the Dodd-Frank Act).

NASDAQ Listing Standard: Compensation Committee Indepenence
Jan 11,2013

NASDAQ listing standards relating to compensation committee independence, as updated to comply with Exchange Act Rule 10C-1 (enacted under Section 952 of the Dodd-Frank Act).

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