The SEC permitted an associated person, who had been subject to statutory disqualification, to effect security-based swaps after he had (i) paid a penalty, (ii) completed a number of remedial requirements and (iii) maintained a clean record.
News & Insights
Comments on proposed amendments to the Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission are due by March 31, 2023.
The SEC proposed amendments to the Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission.
The SEC reopened the comment period for a proposal that would establish listing standards for clawback policies of erroneously awarded compensation. Comments are now due by July 14, 2022. The notice was published in the Federal Register.
The SEC reopened the comment period for a proposal that would require listed companies "to adopt and comply with a compensation recovery policy, often known as a clawback policy." Comments must be submitted 30 days after publication in the Federal Register.