Source: https://legacy.pli.edu/content/Public_Company_Deskbook_Complying_with_Federal/_/N-1z13yypZ4l?ID=230039
Timestamp: 2019-05-23 15:29:27
Document Index: 80565332

Matched Legal Cases: ['§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 2', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 4', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5', '§ 5']

§ 2L:1 : Overview2L-1
§ 2L:2 : Text of Rules2L-2
§ 2L:2.1 : Text of NYSE Rules Relating to Insider and Change of Control Issuances2L-2
§ 2L:2.2 : Text of Nasdaq Rules Relating to Insider and Change of Control Issuances2L-5
§ 2L:3 : Discussion of NYSE Rules2L-7
§ 2L:3.1 : Issuances to Insiders2L-7
§ 2L:3.2 : Change of Control Issuances2L-9
§ 2L:3.3 : Voting Standard and Financial Viability Exception2L-9
§ 2L:4 : Discussion of Nasdaq Rules2L-9
§ 2L:4.1 : Issuances to Insiders2L-9
§ 2L:4.2 : Change of Control Issuances2L-10
§ 2L:4.3 : Voting Standard and Financial Viability Exception2L-10
§ 2L:4.4 : Nasdaq Request for Comments on Shareholder Approval Rules2L-10
§ 4A:2.3 : Text of Rule 10C-1 Under the Exchange Act4A-9
§ 4A:4 : NYSE Rules Relating to Compensation Committee Responsibilities4A-22
§ 4A:4.1 : Entities Subject to the Rules4A-23
§ 4A:4.3 : Application to Non-U.S. Issuers4A-24
§ 4A:4.4 : Charter and Responsibilities4A-24
§ 4A:4.5 : Compensation Committee Advisers4A-25
§ 4A:4.6 : Delegation4A-28
§ 4A:5 : Nasdaq Listing Requirements4A-28
§ 4A:5.1 : Entities Subject to the Rules4A-29
§ 4A:5.2 : Timing of Effectiveness and Phase-Ins4A-30
§ 4A:5.3 : Application to Non-U.S. Issuers4A-30
§ 4A:5.4 : Charter and Responsibilities4A-30
§ 4A:5.5 : Compensation Committee Advisers4A-31
[A] : Former Officer4B-40
[C][3] : Peer Group Construction4D-28
[D] : ISS Qualitative Analysis4D-29
§ 4D:4.4 : Glass Lewis Say-on-Pay Analysis4D-31
§ 4D:4.5 : Company Rebuttals to ISS and Glass Lewis Say-on-Pay Recommendations4D-32
§ 4G:1 : Overview4G-2
§ 4G:2 : Text of Requirements Regarding Clawback Policies4G-2
§ 4G:2.1 : Text of Proposed Rule 10D-1 and Item 402(w)4G-2
§ 4G:2.2 : Text of Item 402(b) of Regulation S-K4G-10
§ 4G:2.3 : Text of Section 304 of SOX4G-10
§ 4G:2.4 : Text of Section 954 of the Dodd-Frank Act4G-11
§ 4G:3 : Examples of Clawback Policies4G-11
§ 4G:3.1 : IBM4G-11
§ 4G:3.2 : Johnson & Johnson4G-12
§ 4G:3.3 : JPMorgan Chase & Co.4G-15
§ 4G:3.4 : Microsoft4G-15
§ 4G:4 : Discussion of Proposed Rule 10D-1 and Item 402(w)4G-16
§ 4G:4.1 : Background4G-16
§ 4G:4.2 : Required Clawback of Incentive-Based Compensation4G-17
[A] : Executives Subject to Mandatory Clawback4G-17
[B] : Incentive-Based Compensation Covered4G-18
[C] : Restatement Triggers4G-19
[D] : Three Fiscal Year Clawback Period4G-20
[E] : Determination of Excess Compensation4G-21
[F] : Exceptions to the Clawback Obligation4G-23
[G] : Manner of Recovery4G-23
[H] : Prohibition on Indemnification or Issuer-Paid Insurance4G-24
§ 4G:4.3 : Disclosure Requirements4G-24
§ 4G:4.4 : Issuers Exempted4G-25
§ 4G:4.5 : Effectiveness4G-26
§ 4G:5 : Clawback Implementation and Disclosure4G-26
§ 4G:5.1 : Background4G-26
§ 4G:5.2 : Statutory Clawbacks4G-27
§ 4G:5.3 : Adopting a Clawback Policy4G-27
§ 4G:5.4 : Accounting Considerations4G-29
§ 4G:6 : Discussion of SOX Section 3044G-29
§ 4G:6.1 : No Private Right of Action4G-29
§ 4G:6.2 : No Indemnification for Section 304 Liability4G-30
§ 4G:6.3 : Scope4G-31
[A] : Text of Item 407(i) of Regulation S-K4I-2
[C] : Text Section 955 of the Dodd-Frank Act4I-4
§ 4I:2.3 : Proxy Advisory Firm Voting Policies4I-5
[A] : ISS Governance Failures Voting Policy4I-5
[B] : Glass Lewis Guidelines 2019 Proxy Season4I-5
§ 4I:3 : Discussion of Requirements Relating to Disclosure of Hedging Policies4I-7
§ 4I:3.2 : Required Disclosure4I-8
§ 4I:3.3 : Covered Hedging Transactions4I-8
§ 4I:3.4 : Covered Securities4I-8
§ 4I:3.5 : Covered Individuals4I-9
§ 4I:3.6 : Covered Companies4I-9
§ 4I:3.7 : Disclosure Location4I-9
§ 4I:3.8 : Timing4I-9
§ 4I:4 : Discussion of Requirements Related to Disclosure of Pledging4I-10
§ 5E:2 : NYSE Requirement to Have and Maintain a Website5E-4
§ 5E:2.1 : Text of Listed Company Manual Section 307.005E-4
[B] : Posting of Interactive Data Files (XBRL Exhibits) No Longer Required5E-7
[C] : Website Disclosure of Director Independence Standards5E-7
[C][1] : Text of Regulation S-K, Item 407(a)(2)5E-7
[C][2] : Discussion5E-8
[D] : Website Disclosure of Committee Charters5E-8
[D][1] : Text of Regulation S-K, Item 407, Instruction 25E-8
[D][2] : Discussion5E-9
[E] : Intent to Delist or Deregister5E-9
[E][1] : Text of Rule 12d2-2(c)5E-9
[E][2] : Discussion5E-10
[F] : Use of Conflict Minerals5E-10
[F][1] : Text of Form SD, Item 1.01(b) and (c)5E-10
[F][2] : Discussion5E-11
§ 5E:3.2 : NYSE Requirements5E-12
[A] : Posting of Annual Reports5E-12
[A][1] : Text of Listed Company Manual Section 203.015E-12
[A][2] : Discussion5E-13
[B] : Nominating Committee Charter5E-13
[B][1] : Text of Listed Company Manual Section 303A.045E-13
[B][2] : Discussion5E-13
[C] : Compensation Committee Charter5E-14
[C][1] : Text of Listed Company Manual Section 303A.05(b)5E-14
[C][2] : Discussion5E-14
[D] : Audit Committee Charter5E-14
[D][1] : Text of Listed Company Manual Section 303A.07(b)5E-14
[D][2] : Discussion5E-15
[E] : Corporate Governance Guidelines5E-15
[E][1] : Excerpt from Listed Company Manual Section 303A.095E-15
[E][2] : Discussion5E-15
[F] : Code of Business Conduct and Ethics5E-15
[F][1] : Text of Listed Company Manual Section 303A.105E-15
[F][2] : Discussion5E-16
§ 5E:3.3 : Nasdaq Requirements5E-16
[A] : Disclosure Requirement for Units5E-16
[A][1] : Text of Nasdaq Rule 5225(a)(3)5E-16
[A][2] : Discussion5E-17
§ 5E:4 : Optional Website Disclosures5E-17
§ 5E:4.1 : Optional Website Disclosures Under SEC Rules5E-17
[A] : Reconciliation on Website of Non-GAAP Financial Measures5E-17
[A][1] : Text of Regulation G, Rule 100, Note 15E-17
[B] : Code of Ethics5E-18
[B][1] : Text of Regulation S-K, Item 4065E-18
[B][2] : Text of Form 8-K, Item 5.055E-18
[B][3] : Discussion5E-19
[C] : Director Attendance at Board Meetings5E-19
[C][1] : Text of Regulation S-K, Item 407(b)5E-19
[C][2] : Discussion5E-19
[D] : Shareholder Communications5E-20
[D][1] : Text of Regulation S-K, Item 407(f)5E-20
[D][2] : Discussion5E-20
[E] : Incorporating Information by Reference on Form S-15E-20
[E][1] : Text of Form S-1, General Instruction VII5E-20
[E][2] : Discussion5E-21
§ 5E:4.2 : Disclosures Under the NYSE Listed Company Manual5E-21
[A] : Disclosure of a Single Director Presiding at All Executive Sessions5E-21
[A][1] : Excerpt from Listed Company Manual Section 303A.035E-21
[A][2] : Discussion5E-22
[B] : Disclosure of a Method for Interested Parties to Communicate with Directors5E-22
[B][1] : Excerpt from Listed Company Manual Section 303A.035E-22
[B][2] : Discussion5E-22
[C] : Disclosure of Audit Committee Members Simultaneously Serving on the Audit Committees of Other Public Companies5E-23
[C][1] : Text of Listed Company Manual Section 303A.07(a)5E-23
[C][2] : Discussion5E-23
[D] : Disclosure of Waivers of Code of Conduct and Ethics5E-23
[D][1] : Excerpt from Listed Company Manual Section 303A.105E-23
[D][2] : Discussion5E-24
[E] : Disclosure for Foreign Private Issuers Regarding Differences in Corporate Governance Practices5E-24
[E][1] : Text of Listed Company Manual Section 303A.115E-24
[E][2] : Discussion5E-25
[F] : Contributions to Tax Exempt Organizations Related to Directors5E-25
[F][1] : Text of Listed Company Manual Section 303A.025E-25
[F][2] : Discussion5E-26
§ 5E:4.3 : Optional Website Disclosures Under Nasdaq Rules5E-26
[A] : Distribution of Annual Reports5E-26
[A][1] : Text of Nasdaq Rule 5250(d)(1)5E-26
[A][2] : Discussion5E-27
[B] : Disclosure of Non-Independent Directors under Exceptional and Limited Circumstances5E-27
[B][1] : Text of Nasdaq Rule 5605(c)(2)(B)5E-27
[B][2] : Text of Nasdaq Rule 5605(d)(2)(B)5E-27
[B][3] : Text of Nasdaq Rule 5605(e)(3)5E-28
[B][4] : Discussion5E-28
[C] : Disclosure of Waivers to Code of Ethics5E-29
[C][1] : Text of Nasdaq Rule 56105E-29
[C][2] : Discussion5E-29
[D] : Disclosure for Foreign Private Issuers Regarding Differences in Corporate Governance Practices5E-30
[D][1] : Text of Nasdaq Rule IM-5615-35E-30
[D][2] : Discussion5E-31
§ 5I:2 : Disclosure Controls and Procedures (Rules 13a-15, 15d-15, Regulation S-K Item 307)5I-3
[D] : SEC Enforcement Action5I-8
[B] : Document Existing Procedures5I-10
[D][2] : Disclosure Committee5I-14
§ 5I:3 : Relationship of Disclosure Controls and Procedures and Accounting Controls5I-19
§ 5I:4 : Disclosure Controls and Procedures for Other Disclosure Channels5I-21
Appendix K: Staff Legal Bulletin No. 14-14J