Thomas Gorman on the SEC's Expanded Role in Corporate Governance after Dodd-Frank

The federal securities laws have traditionally focused largely on disclosure, leaving corporate governance to state law. Nevertheless, Dodd-Franks expands the Commission's role in corporate governance in three key areas. This is consistent with the impact of the legislation on the SEC's Enforcement...

Proposed Rule under Dodd-Frank Addressing Incentive-Based Compensation Arrangements For Financial Firms

by James E. Earle Esq. and Mark D. Perlow Esq. Excerpt: On March 30, 2011, seven federal financial regulators (each, an " Agency ," and collectively, the " Agencies ") published a proposed rule (the " Proposed Rule ") that would implement Section 956 of the Dodd-Frank...

Earle And Perlow: Proposed Rule Addresses Incentive-Based Compensation Arrangements For Financial Firms

by James E. Earle Esq. and Mark D. Perlow Esq. Excerpt: On March 30, 2011, seven federal financial regulators (each, an " Agency ," and collectively, the " Agencies ") published a proposed rule (the " Proposed Rule ") that would implement Section 956 of the Dodd-Frank...

Thoughts for the SEC on JOBS Act Part I-General Solicitation

Our firm is working on a comment letter to submit to the SEC, but in the meantime I thought I would deliver some thoughts that are purely my own as the SEC pursues the massive rulemaking job put upon it by the Jumpstart our Business Startups (JOBS) Act recently signed into law. The law directs...