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regulations library

As the recognized authority on the investor relations profession, NIRI provides members with a wealth of resources. One of the IRO's key challenges is to not only have command of the regulations now governing the profession, but to stay current with the new rules and requirements from Washington and beyond. In this section, we aggregate the information you need to stay ahead of the requirements.

Latest News & Events

SEC Staff Legal Bulletin No. 14H (investor proposals) (10/15)
On Oct. 22, 2015, the SEC issued a staff legal bulletin that addresses the exclusion of competing shareholder proposals and the omission of resolutions that relate to a company's "ordinary business" operations.

SEC, Final CEO Pay Ratio Disclosure Rule (8/15)
On August 5, 2015, the Securities and Exchange Commission voted 3-2 to approve a final rule to require most public companies to disclose the median of the annual total compensation of all employees of the company, and the ratio of that median to the annual total compensation of its CEO.

SEC, Proposed “Pay Versus Performance” Disclosure Rule (4/15)
On April 29, 2015, the SEC proposed a rule to require issuers to file new proxy disclosures that describe the relationship between the compensation received by its top executives and the company’s total shareholder return (TSR).

"Beyond Regulatory Gridlock?" IR Update (12/14)
A review of 2014 regulatory developments and a look ahead to 2015.

NIRI Comment Letter on the SEC's Strategic Plan (3/14)
On March 14, NIRI submitted comments on the SEC's draft Strategic Plan for 2014-2018. NIRI urged the SEC to address shareholder communications, ownership transparency, proxy advisors, and disclosure reform.

"Regulatory Ground Zero: Washington and IR: What to Expect Next" (12/13)
A look ahead at the IR-related issues that will be on the SEC's agenda in 2014.

NIRI Executive Alert, "SEC Proposes Pay Ratio Disclosure Rule" (9/13)
On Sept. 18, the SEC proposed a new rule that would require most issuers to disclose the ratio between their CEO's total compensation and the median compensation of their employees.

NIRI Executive Alert, "SEC Permits Social Media Use for Corporate Disclosure" (4/13)
On April 2, the U.S. Securities and Exchange Commission issued a press release stating that companies may use corporate social media outlets such as Facebook and Twitter “to announce key information in compliance with Regulation Fair Disclosure (Regulation FD) so long as investors have been alerted about which social media will be used to disseminate such information.”

NIRI Petitions SEC for Greater Shareholder Transparency (2/13)
NIRI, NYSE Euronext, and the Society of Corporate Secretaries have submitted to the SEC a request for rulemaking to shorten the deadline for institutional investors to report their share ownership positions.

SEC Approves New Disclosure Rules on Conflict Minerals and Resource Extraction Payments (8/23/12)
The Securities and Exchange Commission approved two new final rules that will require issuers to disclose their use of “conflict minerals” as well as payments to foreign governments for the extraction of oil and other natural resources.

Jumpstart Our Business Startups Act Approved (4/5/12)
President Obama signed into law the Jumpstart Our Business Startups (“JOBS”) Act, a set of amended SEC regulatory requirements primarily related to private and small-cap IPO companies.

SEC Approves Say-on-Pay (1/25/11)
The SEC voted to adopt rules to implement Section 951 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”), which contains a number of corporate governance provisions that will impact the Investor Relations profession.

President Obama to Approve New Financial Regulatory Reform Measures (7/20/10)
On July 21, 2010, President Obama will sign the Dodd-Frank Wall Street Reform and Consumer Protection Act.