SEC Adopts Final Clawback Rules for Incentive-Based Compensation
On October 26, 2022, the U.S. Securities and Exchange Commission (the SEC) adopted final executive compensation “clawback” rules (the Final Rules)…
Source: lexology.com
Page 10 - Proposing Release News Today : Breaking News, Live Updates & Top Stories | Vimarsana
Stay updated with breaking news from Proposing Release. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.
Top News In Proposing Release Today - Breaking & Trending Today
SEC Proposes to Require Registered Investment Advisers to Implement a Comprehensive Oversight Framework for Service Providers | Morrison & Foerster LLP
On October 26, 2022, the U.S. Securities and Exchange Commission (SEC) proposed new Rule 206(4)-11 (the “Vendor Oversight Rule” or the “Rule”) to prohibit investment advisers registered...
Source: jdsupra.com
SEC Proposes New Rule Requiring Investment Adviser Oversight of Certain Third Party Service Providers | Sullivan & Worcester
On October 26, 2022, the Securities and Exchange Commission ("SEC") proposed a new rule under the Investment Advisers Act of 1940 ("Advisers Act") to prohibit registered investment...
Source: jdsupra.com
SEC Proposes Mandated Swing Pricing, Hard Close and Fundamental Changes to Liquidity Rule | Dechert LLP
The Securities and Exchange Commission on November 2, 2022 proposed significant revisions to its rules governing open-end investment company liquidity risk management and swing pricing....
Source: jdsupra.com
Burying The Technologically Primitive WORM: Open Meeting On Broker-Dealer Electronic Recordkeeping Requirements, SEC Commissioner Hester M. Peirce,Oct. 12, 2022
<p><span>The Commission finally is considering the adoption of a rule that will allow broker-dealers</span><span> to retire the antiquated systems using CD-ROMs or other similar write-once-read-many (or, appropriately primitive, WORM) technology that our current rules require.</span></p>
Source: mondovisione.com