Latest Executive Alert

 

SEC Approves Final Proxy Advisor Rules  
(7/22/20)  

In a long-awaited victory for public companies, the U.S. Securities and Exchange Commission voted 3-1 on July 22 to approve new regulations on proxy advisory firms and to issue additional guidance for the institutional investors who hire them.   

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Additional NIRI Executive Alerts

SEC Proposes to Reduce Equity Ownership Transparency (7/13/20)   

On July 10, the U.S. Securities and Exchange Commission voted to propose amendments to its Form 13F disclosure rules, which would dramatically reduce the number of investment managers that disclose their holdings after each quarter.  

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IROs Cope with Greater Workload, Uncertainty During Pandemic (6/4/20)  

Investor relations professionals are working longer hours and receiving more inquiries from investors and analysts during the global coronavirus pandemic, according to a new NIRI survey report.

Read this Alert 
 

SEC Proposes Rules on Proxy Advisors, Shareholder Resolutions (11/7/2019)

In a pair of significant victories for issuers, the U.S. Securities and Exchange Commission voted in November 2019 to propose new restrictions on proxy advisory firms and shareholder proposals. 

 

SEC Cracks Down on Non-GAAP Metrics (5/20/2016)

On May 17, 2016, the U.S. Securities and Exchange Commission issued new and revised Compliance & Disclosure Interpretations that relate to Regulation G and the reporting of non-GAAP financial measures by companies, and will have a significant impact on earnings releases.

 

Lawmakers Consider Bill to Regulate Proxy Advisors (5/18/2016)

On May 17, 2016, the U.S. House Financial Services Committee held a hearing on a draft bill, the “Proxy Advisory Firm Reform Act of 2016,” which would require the Securities and Exchange Commission to impose new registration and disclosure requirements on proxy advisory firms

     

 
 
 

Executive Alerts offer periodic and timely information on regulatory and compliance issues, delivering vital insight and guidance to NIRI members.


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