Log in or register
Share on LinkedInShare on LinkedIn

ARTICLE · 28 JANUARY 2010

SEC Provides More Guidance On New Proxy Disclosure Enhancement Rules

Dorsey & Whitney LLP
Explore more from Dorsey & Whitney LLP

On January 20, 2010, the Securities and Exchange Commission issued nine new Compliance & Disclosure Interpretations (the "January C&DIs") relating to its proxy disclosure enhancement rules adopted on December 16, 2009 (the "New Proxy Disclosure Rules").

United StatesFinance and Banking
Jay Swanson
Jay Swanson

On January 20, 2010, the Securities and Exchange Commission issued nine new Compliance & Disclosure Interpretations (the "January C&DIs") relating to its proxy disclosure enhancement rules adopted on December 16, 2009 (the "New Proxy Disclosure Rules"). The January C&DIs provide guidance on the new disclosure requirements relating to director qualifications, compensation consultants, equity awards and compensation policies and practices. The January C&DIs also supplement the C&DIs issued by the Staff on December 22, 2009 (the "December C&DIs") by providing additional guidance on transition issues.

Most of the January C&DIs are technical in nature, but some of the new interpretations provide a broader perspective on the Staff's approach to implementation of the new disclosure requirements. Companies preparing proxy statements intended to comply with the New Proxy Disclosure Rules should review and analyze the January C&DIs. In addition, the January C&DIs may affect

We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.

Register for freeORLog in

Related Articles

Legal Intelligence Newsletters: sign up for the latest legal and regulatory news on your chosen topics

Read more about

Related Comparative Guides

See more popular content from

Article

SEC Advances “Responsible Retailization” Through A Potential Accredited Investor Exam And Potential Regulated Fund Reforms

On September 30, 2026, the Securities and Exchange Commission (SEC) issued two rule proposals and five notices aimed at expanding investors’ access to private markets. The package would add ways to qualify as an accredited investor, including passing a new exam administered by the Financial Industry Regulatory Authority (FINRA), broaden performance-based compensation and modernize regulated funds, including interval funds and business development companies (BDCs).
United StatesFinance and Banking
Proskauer Rose LLP
Proskauer Rose LLP
Article

OCC Issues Examiner Framework For Banks’ Use Of Artificial Intelligence

The Office of the Comptroller of the Currency has released a new framework for evaluating banks' deployment of artificial intelligence and agentic AI systems in their business operations. This guidance establishes how examiners will assess AI through existing risk management disciplines rather than creating separate regulatory requirements, with review intensity scaled to each use case's potential consequences and level of human oversight.
United StatesFinance and Banking
Sheppard
Sheppard
Article

SEC Proposes Rule Amendments To Expand Retail Access To Private Markets

The SEC has proposed sweeping amendments to expand retail investor access to private market strategies, including changes to performance-based compensation rules for registered investment advisers and modernization of the interval fund framework. The proposals also explore new credential-based pathways for individuals to qualify as accredited investors, potentially opening private offerings to a broader pool of eligible participants.
United StatesFinance and Banking
Duane Morris LLP
Duane Morris LLP
Article

SEC Approves FINRA’s New “Outside Activities” Rule

The Securities and Exchange Commission has approved FINRA Rule 3290, which will replace existing rules governing outside business activities and private securities transactions for registered persons. This new rule narrows the scope to focus on investment-related activities while maintaining similar supervisory obligations for member firms. Understanding the key changes and implementation requirements will be critical for broker-dealers as they update their compliance policies and procedures.
United StatesFinance and Banking
WilmerHale
WilmerHale