Wednesday, October 20. 2021

SEC Revises Filing Fee Disclosure and Payment Methods

The SEC voted on October 13th to apply updates to the current methods used to calculate, report, and pay filing fees. The modifications are intended to help automate filing fee calculation and validation and update fee payment options. Importantly, the SEC is introducing a structured data format disclosure requirement concerning fee calculations to most fee-bearing forms. Continue reading "SEC Revises Filing Fee Disclosure and Payment..." »
Posted by
LeAnn Dey
in Investment Management at 16:45

SEC Reopens Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation

The SEC has reopened the comment period for the proposed rules to enforce Section 954 of the Dodd-Frank Act regarding listing standards for the recovery of money erroneously disbursed for incentive-based executive compensation. The proposal would require national securities exchanges to establish listing standards that would mandate that listed companies adopt and comply with a compensation recovery policy, satisfying the requirements of Section 10D of the Exchange Act. This is commonly referred to as a clawback policy. Continue reading "SEC Reopens Comment Period for Listing..." »
Posted by
LeAnn Dey
in SEC at 13:35
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