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314 Matching News Items

1.  Securities and Exchange Commission January 17 Meeting to Address Compensation Disclosure
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Jan. 9, 2006
Excerpt: The Commission will consider whether to propose amendments to the disclosure requirements for executive and director compensation, related party transactions, director independence and other corporate governance matters, and securities ownership of officers and directors.
2.  Text of Remarks on Annuity Products by the Associate Director of the Division of Investment Management, U.S. Securities and Exchange Commission
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
June 27, 2012
"Having watched the market movements of the past decade, investors near or in retirement are naturally wary as they turn their attention from saving to the task of funding a steady income that they will not outlive. That is part and parcel of the variable annuity business and the central appeal of the products you offer, and this should be a great time to be in the business. However, the volatility that has characterized the recent economic environment has strained many firms' ability to offer the products that investors are seeking for this purpose. Despite sales of variable annuities having increased approximately 12% in 2011 over 2010, some of the large established firms in the variable annuity space have either left the business or curtailed offerings. The dynamic climate of changing economics and changing participants in the business makes this a time that calls for care in the design of variable products and attention to investor protection."
3.  Editorial: The Test for the Securities and Exchange Commission
The Washington Post; subscription may be required Link to more items from this source
Jan. 17, 2006
Excerpt: The question is whether the SEC's proposal will go as far as it should, especially on retirement compensation. At present, firms are not required to disclose the value of defined-benefit pension promises to executives, so reports of bosses' pay generally leave these out. But the value of these promises can be enormous.
4.  Final SEC Regs: Exemption of Compensatory Employee Stock Options From Registration Under Section 12(G) of the Securities Exchange Act of 1934 (PDF)
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Dec. 7, 2007
15 pages. Excerpt: SUMMARY: We are adopting two exemptions from the registration requirements of the Securities Exchange Act of 1934 for compensatory employee stock options. The first exemption will be available to issuers that are not required to file periodic reports under the Exchange Act. The second exemption will be available to issuers that are required to file those reports because they have registered under Exchange Act Section 12 a class of security or are required to file reports pursuant to Exchange Act Section 15(d). The exemptions will apply only to the issuer's compensatory employee stock options and will not extend to the class of securities underlying those options.
5.  SEC Extension of Comment Period for Rule Changes Proposed by 7 Listing Exchanges Relating to Adoption of Listing Standards for Compensation Committees and Advisors (PDF)
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Nov. 29, 2012
"The proposed rule changes were published for comment in the Federal Register on October 15, 2012. The Commission received six comment letters on the NYSE proposed rule change, seven comment letters on the Nasdaq proposed rule change, and one comment letter on the NYSE Arca proposed rule change. The Commission received no other comment letters for any of the other Exchanges' proposed rule changes. Accordingly, the Commission ... designates January 13, 2013, as the date by which the Commission should either approve or disapprove or institute proceedings to determine whether to disapprove these proposed rule changes." [Applies to Rules proposed by BATS Exchange, Inc.; NASDAQ OMX BX Inc.; Chicago Board Options Exchange, Incorporated; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Arca LLC; and NYSE MKT LLC.]
6.  Text of SEC Proposed Rule Prohibiting Use of Brokerage Commission to Finance Fund Distribution (PDF)
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Mar. 1, 2004
13 pages. Excerpt: The [SEC] is publishing for comment amendments to the rule under the Investment Company Act of 1940 that governs the use of assets of open-end management investment companies ('funds') to distribute their shares. The amended rule would prohibit funds from paying for the distribution of their shares with brokerage commissions. The proposed amendments are designed to end a practice that is fraught with conflicts of interest and may be harmful to funds and fund shareholders.
7.  Text of SEC Concept Release and Request for Comment on Compensatory Securities Offerings and Sales
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
July 20, 2018
"Since Rule 701 and Form S-8 were last amended, forms of equity compensation have continued to evolve and new types of contractual relationships between companies and the individuals who work for them have emerged. In light of these developments ... we believe this is an appropriate time to revisit the Commission's regulatory regime for compensatory securities transactions. We therefore solicit comment on possible ways to update the requirements of Rule 701 and Form S-8, consistent with investor protection. We also solicit comment on what effects any revised rule or form may have on a company's decision to become a reporting company."
8.  SEC Charges Chicago Board Options Exchange for Regulatory Failures
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
June 11, 2013
"CBOE agreed to pay a $6 million penalty and implement major remedial measures to settle the SEC's charges. The financial penalty is the first assessed against an exchange for violations related to its regulatory oversight.... An SEC investigation found that CBOE failed to adequately police and control this conflict for a member firm that later became the subject of an SEC enforcement action. CBOE put the interests of the firm ahead of its regulatory obligations by failing to properly investigate the firm's compliance with Regulation SHO and then interfering with the SEC investigation of the firm."
9.  Text of SEC Proposed Regs on Asset-Backed Securities, Including Changes to Disclosure Rules
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
May 3, 2010
188 pages. "We also are proposing to require that, with some exceptions, prospectuses for public offerings of asset-backed securities and ongoing Exchange Act reports contain specified asset-level information about each of the assets in the pool."
10.  Index of Comments to Date on SEC Proposed Amendments to Regulation D, Form D and Rule 156 under the Securities Act
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
July 12, 2013
On the linked page is a list of comments received by the SEC to date, with a link to the full text of each. The deadline for comments is 60 days after the Proposed Amendments are published in the Federal Register. At this writing (July 12), the Federal Register publication date has not been determined. The linked page will be updated by the SEC to include new comments as they are filed.
11.  Final SEC Regs on Definition of 'Swap Dealer' and 'Securities-Based Swap Dealer' Under Dodd-Frank Act Including Swap Positions Maintained by an ERISA Plan or Governmental Plan (PDF)
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
May 23, 2012
July 23, 2012 effective date; 169 pages. Excerpt (at p. 30681 in the Federal Register): "Consistent with the position expressed in the Proposing Release, the [SEC and the Commodity Futures Trading Commission, or the 'Commissions'] interpret the ERISA hedging exclusion in the first statutory major participant test to be broader than that test's commercial risk hedging exclusion. This reflects the facts that the ERISA hedging exclusion is not limited to 'commercial' risk, and that the ERISA hedging exclusion addresses positions that have a 'primary' hedging purpose (which suggests that those positions may have a secondary nonhedging purpose).... [The Commissions] interpret the meaning of the term 'maintain' -- in the context of the statutory provision that the swap or security-based swap position be 'maintained by' an employee benefit plan--not only to include positions in which the plan is a counterparty, but also to include positions in which the counterparty is a trust or pooled vehicle that holds plan assets. Thus, for example, the exclusion would be available to trusts or pooled vehicles that solely hold assets of the types of plans identified in the statutory definition. The exclusion further may be available to entities that hold such plan assets in conjunction with other assets, but only to the extent that the entity enters into swap or security-based swap positions for the purpose of hedging risks associated with the plan assets. The exclusion does not extend to positions that hedge risks of other assets, even if those are managed in conjunction with plan assets."
12.  Text of SEC Proposed Amendments to Regulation D, Form D and Rule 156 under the Securities Act
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
July 10, 2013
"[W]e anticipate that issuers using Rule 506(c) will be able to reach a greater number of potential investors than is currently the case in Rule 506 offerings, thereby increasing their access to sources of capital.... On the other hand, we recognize the concerns raised by a number of commenters that a general solicitation for a Rule 506(c) offering would attract both accredited and non-accredited investors and could result in an increase in fraudulent activity in the Rule 506 market, as well as an increase in unlawful sales of securities to non-accredited investors."
13.  Text of Final SEC Rule Shortening Rule 144 Holding Period for Certain Restricted Securities (PDF)
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Dec. 17, 2007
29 pages. Excerpt: Effective Date: February 15, 2008. The revised holding periods and other amendments that we are adopting are applicable to securities acquired before or after February 15, 2008.
14.  SEC Report and Recommendations Pursuant to Section 401(c) of the Sarbanes-Oxley Act of 2002 (PDF)
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
June 16, 2005
119 pages. Section 401(c) of the Sarbanes-Oxley Act of 2002 mandates that the Securities and Exchange Commission conduct a study of filings by issuers and issue a report. The staff of the Commission conducted an empirical analysis of the filings as well as a qualitative analysis of pertinent U.S. Generally Accepted Accounting Principles and Commission disclosure rules. In this Report the Staff describes the Study, reports its findings and provides recommendations.
15.  Current Report on SEC Form 8-K, November 23, 2004: Frequently Asked Questions
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Dec. 3, 2004
"The answers to these frequently asked questions represent the views of the staff of the Division of Corporation Finance. They are not rules, regulations or statements of the Securities and Exchange Commission. Further, the Commission has neither approved nor disapproved them. Note: Since the Commission's publication of Release No. 34-49424, Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date, we have received a number of questions regarding the ..."
16.  SEC Final Rule Requiring Listing Standards for Compensation Committees and Compensation Advisers
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
June 20, 2012
"The Securities and Exchange Commission has approved a rule that directs national securities exchanges to adopt listing standards for public company boards of directors and compensation advisers. The new rule, required by the Dodd-Frank Wall Street Reform and Consumer Protection Act, requires exchange listing standards to address: The independence of the members on a compensation committee The committee's authority to retain compensation advisers The committee's consideration of the independence of any compensation advisers and The committee's responsibility for the appointment, compensation, and oversight of the work of any compensation adviser. Once an exchange's new listing standards are in effect, a listed company must meet the standards in order for its shares to continue trading on that exchange."
17.  SEC Adopts New Rules and Amendments for Fund of Funds Investments and Disclosure
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
June 23, 2006
Excerpt: On June 20, 2006, the Securities and Exchange Commission adopted three new rules and amendments to several forms under the Investment Company Act that address 'fund of funds arrangements.' The new rules will codify several exemptions from the Act that the Commission has issued over the years, and will provide greater transparency of expenses investors in these arrangements pay.
18.  SEC Guidance on PCAOB Auditing Standard No. 2
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Oct. 11, 2004
Excerpt: Pursuant to Section 107(b) of the Sarbanes-Oxley Act of 2002 ... notice is hereby given that on September 16, 2004, the Public Company Accounting Oversight Board ... filed with the Securities and Exchange Commission ... the proposed rule described in Items I and II below, which items have been prepared by the Board and are presented here in the form submitted by the Board. The Commission is publishing this notice to solicit comments on the proposed rule from interested persons.
19.  SEC Issues Exemptive Order Covering Certain Stock Option Repricings
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Mar. 22, 2001
Excerpt: On March 21, 2001, the Division of Corporation Finance, pursuant to delegated authority from the Commission, issued an exemptive order under the Securities Exchange Act of 1934 (Exchange Act) for issuer exchange offers that are conducted for compensatory purposes. The order exempts these exchange offers from Rules 13e-4(f)(8)(i) and (ii), the all holders and best price rules, so long as specified conditions are met.
20.  MFS Will Pay $225 Million To Settle SEC Fraud Charges Concerning Mutual Fund Market Timing
U.S. Securities and Exchange Commission [SEC] Link to more items from this source
Feb. 6, 2004
Press release (2/5/2004). Excerpt: The Securities and Exchange Commission today announced a settled enforcement action against Massachusetts Financial Services Co. (MFS), its chief executive officer John W. Ballen, and its president and chief equity officer Kevin R. Parke, for violating federal securities laws by allowing widespread market timing trading in certain MFS mutual funds in contravention of those funds' public disclosures.
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