Corporate Finance

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February 16, 2015
The SEC recently proposed rules to implement Section 955 of the Dodd-Frank Act, which calls for disclosure of whether a company’s employees and directors are permitted to purchase financial instruments (including prepaid variable forward contracts, equity swaps, collars, and exchange funds) designed to hedge or offset any decrease in the market value of the company’s equity securities.
Client Alert
October 24, 2014

It has been a while since the SEC moved forward with any rulemaking under the Dodd-Frank Act. In fact, the last action taken by the SEC was in December 2013 when it approved amendments to Nasdaq listing rules relating to compensation committee independence. Nothing has happened since then. The SEC’s previous rulemaking schedule indicated some action would be taken by the end of October 2014.

Client Alert
January 14, 2014
A NASDAQ listed company must certify to the exchange that it is in compliance with new rules.
Client Alert
December 13, 2013

Nasdaq adopted a two-pronged compensation committee independence test beginning in January 2014 as mandated by Dodd-Frank.

Client Alert
September 19, 2013
Yesterday the SEC proposed the controversial pay-disparity rules that will require companies to disclose the median annual total compensation of all employees and the ratio of that median to the annual total compensation of the company’s CEO. Click for a few features of the proposed rules we found interesting.
Client Alert
July 11, 2013
April 2, 2013

With the independence rules now finalized by the compensation committee, there are only four corporate governance, compensation, and disclosure-related rules left to be promulgated by the SEC under Dodd-Frank.

Client Alert
February 19, 2013

Kutak Rock attorneys C. David McDaniel and Geoffrey D. Neal have published an article in the Winter 2013 issue of The Arkansas Lawyer magazine titled "JOBS Act Seeks to Ease Restrictions on Access to Capital for Small and Medium-Sized Businesses."  A link to the article, which is reprinted with the permission of the Arkansas Bar Association, is included.

Article
January 24, 2013

The SEC has approved NYSE and Nasdaq rules regarding compensation committee and compensation adviser independence which will be applicable to all listed companies other than controlled companies. The new rules were approved substantially as proposed.

Client Alert
August 24, 2012
The SEC on Wednesday adopted new rules that will require companies to disclose if they use “conflict minerals”—generally tantalum, tin, gold and tungsten—from the Democratic Republic of the Congo (DRC) and other neighboring countries in Africa. The new measure requires companies to make a reasonable effort to determine the origin of the specified metals used in their products.
Client Alert
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