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SEC RIN: 3235-AL49 Publication ID: Spring 2016 
Title: Disclosure of Hedging by Employees, Officers and Directors 
Abstract:

The Commission proposed rules to implement section 955 of the Dodd Frank Act, which added section 14(j) to the Exchange Act to require annual meeting proxy statement disclosure of whether employees or members of the board of directors are permitted to engage in transactions to hedge or offset any decrease in the market value of equity securities granted to the employee or board member as compensation, or held directly or indirectly by the employee or board member.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
EO 13771 Designation: uncollected 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Pub. L. 111-203   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  02/17/2015  80 FR 8486   
NPRM Comment Period End  04/20/2015 
Final Action  04/00/2017 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: None 
Small Entities Affected: Businesses  Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2015/33-9723  
RIN Data Printed in the FR: Yes 
Agency Contact:
Carolyn Sherman
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3500
Email: shermanc@sec.gov