Tag: clawback

Under Section 304 of the Sarbanes Oxley Act the Commission can seek to clawback certain discretionary CEO and CFO compensation and trading profits if there is a restatement of the issuer’s financial statements based on wrongful conduct. The SEC has …

SEC Position on SOX 304 Clawbacks Adopted by Ninth Circuit Read More »

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Change, the future and the Commission’s regulatory agenda were the subject of SEC Commissioner Troy Paredes remarks to before the Society of Corporate Secretaries & Governance Professionals, 66th National Conference on “The Shape of Things to Come.” (July 13, 2012). …

Commissioner Paredes Discusses The SEC Regulatory Agenda Read More »

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