On Aug. 25, seven years after originally proposed, the Securities and Exchange Commission (the SEC) adopted the final pay versus performance rule required by the Dodd-Frank Wall Street Reform and ...
On August 25, the Securities and Exchange Commission (“SEC”) adopted the final rules that require a public company to disclose the relationship between the compensation of its top executives and the ...
The Marketing Rule came into effect on 4 May 2021 with a compliance deadline of 4 November 2022, just over 10 months ago. While much of Marketing Rule generally codified existing interpretive guidance ...
Advisers should use a process that makes it tough to fall out of compliance, not look for ways to dodge it on a technicality, according to experts. The Securities and Exchange Commission’s new adviser ...
We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
'There seems to be a little more detail in the Finra rule about the guardrails on the use of the projections,' a compliance lawyer says. By Mark Schoeff Jr. A Finra proposal on performance advertising ...
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