SEC No-Action Letters Provide Added Insight on Regulations

By Joe Mont2014-02-19T00:00:00

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Article
Companies Face New Twists in Shareholder Proposals

2014-12-23T11:45:00Z By Joe Mont

What the SEC giveth, the courts may taketh away—a point made clear lately by two conflicting messages for companies seeking to keep shareholder proposals off the proxy statement. At the SEC, a victory for Whole Foods suggests the agency might be more business-friendly in granting no-action letters this coming proxy ...
Article
CFPB Offers No-Action Letters With Strings Attached

2014-10-28T16:00:00Z By Jaclyn Jaeger

Image: Title: LampeFinancial firms worried about an enforcement action from the Consumer Financial Protection Bureau may soon get a reprieve. The agency has proposed a no-action letter policy that would let financial firms test the regulatory waters before they roll out new financial products. The application process, however, requires much ...
Article
Companies Still Winning Most Appeals to Exclude Shareholder Proposals

2014-02-25T00:00:00Z By Joe Mont