AALU Logo

AALU Response to the Regulation Best Interest Rule

Fulcrum Partners Executive Benefits News

Last week the Securities and Exchange Commission (SEC) passed the Regulation Best Interest Rule which the commission says, “will simplify consumer’s lives and tighten the standards governing brokers who sell investment products.” You can read the Commission’s final rule here: Regulation Best Interest The Broker-Dealer Standard of Conduct On June 5, the AALU (Association for Advanced Life Underwriting) issued the …

Follow-up Insights: Final Rules for Disclosure of Hedging Policies (Dodd-Frank)

Follow-up Insights: Final Rules for Disclosure of Hedging Policies (Dodd-Frank)

Fulcrum Partners. Executive Benefits News

Following up on the post from Tuesday, Final Rules for Disclosure of Hedging Policies (Dodd-Frank), Mike Melbinger, Partner, Winston & Strawn,  shares these additional insights on the Securities and Exchange Commission’s (SEC) final ruling regarding the Dodd-Frank Act Section 955.   Details on the SEC’s Final Rules on Hedging Policies (originally published Jan 7, 2019)   As I blogged at …

Final Rules for Disclosure of Hedging Policies

Final Rules for Disclosure of Hedging Policies (Dodd-Frank)

Fulcrum Partners. Deferred Compensation News

On December 18, 2018, The Securities and Exchange Commission (SEC) approved final rules to require companies to disclose in proxy or information statements for the election of directors any practices or policies regarding the ability of employees or directors to engage in certain hedging transactions with respect to company equity securities. SEC Chairman, Jay Clayton said, “These disclosures in themselves, …

photo 1454165804606 c3d57bc86b40

SEC Amendments to the Definition of a Smaller Reporting Company

Fulcrum Partners. Executive Benefits News

The following is a two-part report from Michael S. Melbinger, partner in the Chicago offices of Winston & Strawn LLP. Michael is an attorney who practices solely in the areas of executive compensation and employee retirement benefit. This two-part post was originally published in the Executive Compensation Blog on July 9 and 17, respectively, and is republished here with permission …

NQDC platform is ideally suited for claw back arrangements

SEC Approves Request for Vote Proposed by BoA Shareholder

Fulcrum Partners Executive Benefits News

SEC Approves Request for Vote Proposed by BoA Shareholder At Fulcrum Partners LLC, we’ve long thought that the nonqualified deferred compensation platform is ideally suited for claw back arrangements.  See how Bank of America is taking it to a new level. An article written by Deon Roberts and published by The Charlotte Observer (February-10-2016) provides updates and insights on a request …

Fulcrum Partners Shares Securities and Exchange Commission Update

Securities and Exchange Commission Rules on Pay Ratio Disclosure

Fulcrum Partners Executive Benefits News

Securities and Exchange Commission Rules on Pay Ratio Disclosure Earlier this month the Securities and Exchange Commission adopted a final rule requiring a publicly held company to disclose the ratio of the compensation received by its chief executive officer to that of the median compensation received by its employees. The rule is intended to: Provide companies with flexibility in calculating this …

SEC Proposes Rules on Compensation Clawback Policies

Compensation Clawback Policies: SEC Proposes New Rules

Fulcrum Partners Executive Benefits News, Fulcrum Partners News

With Securities and Exchange Commission (SEC) proposed rule changes regarding compensation clawback policies potentially leading to Nasdaq, the NYSE, and other national securities exchanges and associations adopting listing standards applicable to listed companies, Fulcrum Partners recommends that listed companies plan for the review of existing incentive-based compensation arrangements and any other plans or agreements that are affected by incentive compensation, such as deferred compensation plans …