View Rule

View EO 12866 Meetings Printer-Friendly Version     Download RIN Data in XML
SEC RIN: 3235-AK99 Publication ID: Fall 2017 
Title: Listing Standards for Recovery of Erroneously Awarded Compensation  
Abstract:

The Commission proposed rules to implement section 954 of the Dodd-Frank Act, which requires the Commission to adopt rules to direct national securities exchanges to prohibit the listing of securities of issuers that have not developed and implemented a policy providing for disclosure of the issuer's policy on incentive-based compensation and mandating the clawback of such compensation in certain circumstances.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Long-Term Actions 
Major: Undetermined  Unfunded Mandates: No 
EO 14192 Designation: Independent agency 
CFR Citation: Not Yet Determined     (To search for a specific CFR, visit the Code of Federal Regulations.)
Legal Authority: Pub. L. 111-203, sec. 954    15 U.S.C. 78j-4   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  07/14/2015  80 FR 41144   
NPRM Comment Period End  09/14/2015 
Next Action Undetermined  To Be Determined 
Regulatory Flexibility Analysis Required: Yes  Government Levels Affected: Undetermined 
Small Entities Affected: Businesses  Federalism: Undetermined 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2015/33-9861.pdf  
RIN Data Printed in the FR: Yes 
Agency Contact:
Anne M. Krauskopf
Division of Corporation Finance
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-3500
Email: krauskopfa@sec.gov