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As a business leader, the CFO may not be pitching in the next World Series, but s/he should be directing their company's IPO (Initial Public Offering) execution process.

Welcome to the second issue of ETF Roundup, our guide to the latest legal and regulatory developments affecting the exchange-traded fund (ETF) industry.

The Securities and Exchange Commission has recently approved amendments to the compensation committee listing standards of the New York Stock Exchange, the NYSE MKT2 and the NASDAQ Stock Market that were initially proposed in September 2012 to comply with Rule 10C-1 of the Securities Exchange Act of 1934.

Equity-based incentives are intended to motivate high levels of performance and align the interests of employees with those of shareholders.

This blog focuses on IPOs, including legal and regulatory developments affecting the IPO market, analysis of market practices, and information of interest to all companies planning or hoping to go public.

IPO readiness extends far beyond technical accounting, requiring companies to operate like public entities months before filing. Finance leaders must establish robust financial architecture, align stakeholders across departments, and address historical accounting issues that can derail timelines when exposed to public-company scrutiny.

The IPO market in June continued to produce a flow of new offerings at a torrid pace compared to recent years.

The New York Stock Exchange ("NYSE" or the "Exchange") has submitted a rule filing (the "Filing") to the SEC relating to proposed modifications to its automatic execution system, NYSE DIRECT+</I><B>® </B><I>("Direct+"), which the SEC has published for public comment.

This continues to be a time of rapid change for the hedge fund industry.