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SEC | RIN: 3235-AK99 | Publication ID: Fall 2022 |
Title: Listing Standards for Recovery of Erroneously Awarded Compensation | |
Abstract:
The Division is considering recommending that the Commission adopt 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. |
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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 |
CFR Citation: 17 CFR 240.10D-1 17 CFR 229.402 17 CFR 229.404 17 CFR 229.601 17 CFR 240.14a-101 17 CFR 249.220f 17 CFR 249.240f 17 CFR 249.331 17 CFR 274.128 ... (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 15 U.S.C. 78m 15 U.S.C. 78n 15 U.S.C. 78w(a) 15 U.S.C. 78mm 15 U.S.C. 77f 15 U.S.C. 77g 15 U.S.C. 77j 15 U.S.C. 77s(a) 15 U.S.C. 80a-20 15 U.S.C. 80a-29 15 U.S.C. 80a-37 ... |
Legal Deadline:
None |
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Timetable:
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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 |