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The SEC rejected a Freedom of Information Act request on July 27, 2010 based upon this new law; while the SEC has stated that this legal change is necessary for registrants to comply with the examinations, the provision has been criticized for allowing the SEC to avoid the typical disclosure rules applicable to federal agencies. [10]
To determine the disclosure rules, the Act authorizes the SEC to perform "investor testing" and to rely on experts to study financial literacy among retail investors. [ 82 ] Subtitle A provides authority for the SEC to impose regulations requiring " fiduciary duty " by broker–dealers to their customers.
Prior to a 2006 SEC overhaul of proxy disclosures of executive compensation, [112] [113] the packages were unique to executives because unlike salary, bonuses, and stock options, they had the advantage of not being required to be disclosed to the public in annual filings, indicating the dollar value of compensation of the CEO and the four other ...
On Thursday, by a 4 to 1 vote, the SEC approved a series of changes to the way companies have to disclose compensation on those pesky proxy statements which have become something of a rite of ...
The SEC is set to finalize and adopt a rule Wednesday that would claw back executive compensation of companies that have to materially correct financial statements, raising the bar for Corporate ...
This is one of the most common types of forms filed with the SEC. After a significant event like bankruptcy or departure of a CEO , a public company generally must file a Current Report on Form 8-K within four business days to provide an update to previously filed quarterly reports on Form 10-Q and/or Annual Reports on Form 10-K .
Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers (issuing or contemplating issuing shares), filers (entities that must file reports with the SEC) or registrants (entities that must register (usually shares) with the SEC).
The proposed U.S. Securities and Exchange Commission rules aim to standardize climate-related company disclosures about greenhouse gas emissions, risks and how much money they are spending on the ...