Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE

The SEC has updated its Dodd-Frank rulemaking schedule.  Highlights of those rules slated for action in the January to June timeframe of 2012 are as follows:

  • §952: Adopt exchange listing standards regarding compensation committee independence and factors affecting compensation adviser independence; adopt disclosure rules regarding compensation consultant conflicts
  • §§953 and 955: Propose rules regarding disclosure of pay-for-performance, pay ratios, and hedging by employees and directors
  • §954: Propose rules regarding recovery of executive compensation
  • §1502: Adopt rules regarding disclosure related to “conflict minerals”
  • §1504: Adopt rules regarding disclosure by resource extraction issuers
  • §926: Adopt rules disqualifying the offer or sale of securities in certain exempt offerings by certain felons and others similarly situated
  • §418: Adopt rules to adjust the threshold for “qualified client”
  • §919B: Implement recommendations contained in study on ways to improve access of investors to registration information regarding investment advisers and broker-dealers
  •   §951: Adopt rules regarding disclosure by institutional investment managers of votes on executive compensation
  •   §1088: Issue rules and guidelines (jointly with the CFTC) to require investment companies and broker-dealers to adopt policies and procedures to prevent identity theft.

For those of you following the hotly contested rules related to the registration of municipal advisors under Section 975 of the Dodd-Frank Act, those rules are scheduled to be adopted between July and December of 2012, a significant delay.

Check frequently for updates on the Dodd-Frank Act and other important securities law matters.

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