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Results from: TheCorporateCounsel.net
  1. Risk Monitoring Program Published: 2023-02-09 09:42:38
    ... of their customers' orders in NMS stocks and listed options. ... practices and decisions, and other aspects of ... retail customer, does it exercise reasonable diligence, ...
  2. Sample California Third-Party Legal Opinion for Venture Capital... Published: 2015-03-19 16:09:47
    ... that the client can make an informed decision as to whether to assume the risk and ... upon conversion of convertible securities and upon the exercise of options or warrants. ...
  3. Microsoft Word - 941_201004212003020281.doc Published: 2010-04-22 08:34:09
    ... bearers"). 26 stockholder vote as a decision-making mechanism is the premise that ... shares by written consent after corporation exercised option to acquire shares); Freeman v. ...
  4. Reducing False Claims Act Exposure Published: 2020-03-31 17:07:49
    ... government merely had the option to decline to pay if it ... where agency personnel exercise discretion regarding ... the reasonableness of the company's ultimate decision. ...
  5. Navigating Sanctions: An International Guide Published: 2024-12-11 13:47:46
    ... review of the designation decision. Both the judicial and administrative options may be time-consuming, but ... that the relevant official exercises control over that entity ...
  6. CSA Provides Update on Proposed ... Published: 2022-10-24 14:32:31
    ... SASB standards be made optional, with the possibility of ... consensus" in its decision-making process, we expect that the CSA will undertake this exercise in collaboration with ...
  7. IN THIS ISSUE THIRD QUARTER 2012 FEATURES 1 Allocating Acquisition... Published: 2012-09-24 13:55:00
    ... But two recent Chancery Court decisions are reminders that can still happen. In ... In July 2011, ACC exercised its option, and shortly after that won a $373 million award in a ...
  8. Governance Insights 2012 v1 Published: 2014-10-28 15:55:09
    ... TSX listed issuers no longer have the option of not ... Although the decisions relating to the collapse of the dual ... Some may not take the time to exercise their voting rights ...
  9. Davis Polk Financial Services Regulatory Reform Tool … Fall... Published: 2021-09-23 15:14:06
    ... options for a possible rulemaking on the subject.  The CFPB did note that Acting Director Uejio's decision to ... the Federal Reserve to exercise all its duties and ...
  10. Heads Up Published: 2014-06-02 09:26:44
    ... A contract that offers a customer a "significant economic incentive to exercise" a put option ... Information about the entity's policy decisions (i.e., whether the entity used the ...
  11. Fried Frank Inside Recent IRS Pronouncement Aims to Stem Tide... Published: 2015-02-25 15:33:23
    ... stock options that are exercised or cashed out in ... and delivery of stock options and stock-based ... In the Medtronic decision, In re Medtronic, Inc. Derivative ...
  12. http://www.gibsondunn.com/Publications/Pages/SECEnforcementActi Published: 2009-05-26 08:40:55
    ... Rule 206(4)-6 requires an investment adviser that exercises ... plans (including stock options and restricted stock ... monitor and make voting decisions, and to ensure that ...
  13. Director Education Opportunities - Updated October 2024 Date... Published: 2024-10-21 08:44:34
    ... disruption * Strategic options for growth * How to ... * Activism campaign exercise April 22 - 25, 2025 ... effectiveness, decision making and strategy * ...
  14. 03_04_03_SOX.PDF Published: 2003-07-10 22:22:00
    ... These inherent limitations include the realities that judgments in decision-ma... of securities to be issued upon exercise of outstanding options, warrants and rights ...
  15. March 30, 2011 Published: 2022-08-22 16:29:31
    A Customized Financing Option in Challenging Markets ... Convertible notes and warrants exercisable for shares of ... you select are important decisions that should not be based ...
  16. Good Faith Issues.indd Published: 2005-03-11 14:54:48
    ... failure of a director to exercise reasonable oversight-is ... Ovitz's salary, stock options, or severance package, and ... that this controversial decision was only in response to a ...
  17. ©2005-2022 K&L Gates LLP. All Rights Reserved. Published: 2022-08-01 13:10:04
    The Certification is one of two options under the PIPL, ... and the method of exercising those rights, including ... not to be subject to decisions based solely on automated ...
  18. Defining Issues FASB aproves new transition method and lessor... Published: 2018-03-29 16:44:49
    ... undertake an allocation exercise between non- lease ... non-comparative transition option would not be required to ... The basis for the Board's decision on sales and other ...
  19. Defining Issues 15-29 FASB Decides to Change Hedge Accounting Published: 2015-07-02 15:47:56
    ... The FASB's decision would allow the entity to define the hedged item as the crude ... They would not need to consider any other reason the call option may be exercised. ©2001-2015 ...
  20. SECURITIES ADVISORY Capital Raising During the COVID-19 Pandemic... Published: 2020-05-06 17:43:04
    ... have been an attractive option for public companies ... debt with a "floating" exercise or conversion price, ... make an investment decision to purchase securities in ...
  21. SEARCH KMK Law Corporate & Securities ... Published: 2020-04-16 14:13:37
    ... "notice- only" delivery option permitted by Exchange Act ... of duration, or on any decisions to delay or avoid putting ... determine whether boards exercised appropriate discretion ...
  22. China Introduces First Comprehensive Legislation on Personal... Published: 2021-09-08 10:34:54
    ... through automated decision-making methods, shall simultaneously provide the option to avoid targeting an ... and procedures to exercise their personal information ...
  23. Microsoft Word - Preparing_for_the_2016_US_Proxy_and_Annual_Reporting... Published: 2015-09-23 23:11:10
    ... paid on the date of vesting, whether or not exercised. ... Accordingly, the stock and option award amounts shown in the ... policies and decisions for executive officers ...
  24. Securities Bulletin Published: 2015-01-30 17:39:14
    ... with its treatment of the Champion decision - a fairness option can be indicia of the fairness and ... substance" and are expected to exercise their professional judgment in ...
  25. Artificial Intelligence Risk Management Framework: Generative... Published: 2024-09-10 11:31:07
    ... public feedback exercises into design, ... Risk response options can include mitigating, transferring, ... Document trade-offs, decision processes, and relevant ...
  26. Dela Published: 2015-09-23 16:04:36
    following the Delaware Supreme Court's decision in ATP Tour, Inc. v. ... the corpora- tion receives upon exercise of a right or option to acquire stock may be determined ...
  27. INSTITUTIONAL INVESTOR SURVEY Published: 2021-05-12 13:07:56
    ... to the investment decision-making process. 5 Every ... However, there are also many who consider the option to vote ... matters and have a fiduciary duty to exercise their votes. ...
  28. Special Commentary - Corporate Governance.qxd Published: 2005-03-08 10:14:07
    ... are or have been exercised in a manner that is ... the decision of the Supreme Court will likely have a similar impact in encouraging creditors to consider the option of a ...
  29. Advisory Litigation Pillsbury Winthrop Shaw Pittman LLP www.pillsburyl... Published: 2012-05-18 12:49:36
    ... that they will be only one of the SFO's available options. ... the recently announced decision to seek recov- ery from ... can reasonably be held to exercise greater due diligence ...
  30. Brexit: What Does It Mean and What Happens Now? Published: 2016-06-27 01:31:53
    ... But until a decision is made on the Brexit model we will not ... to weigh the impact of exercising the freedom to move away ... the EEA it has the option to amend the current legislation. ...
  31. 1490550-2023 Government Insights Center-How Can Boards Navigate... Published: 2022-11-11 11:38:16
    ... What does a working capital benchmarking exercise-that ... Companies typically have multiple options, and in some cases ... keeping stakeholders up to date as you make these decisions. ...
  32. PUBLICATION CORPORATE GOVERNANCE CORPORATE TRANSACTIONS Published: 2022-04-22 08:11:25
    ... would be protected by the fact that the board will have made the decision. ... well as the maximum number of shares that may be purchased upon the exercise of the rights or options. ...
  33. SEC Adopts Proxy Access T Published: 2010-09-01 22:11:48
    ... These decisions may require the nominating/ corporate governance committee ... such as securi- ties underlying options that are currently exercisable but have not been exercised. ...
  34. TARP Report: Published: 2009-02-04 13:04:48
    ... not yet finished, no financial compensation decisions have been made at Goldman Sachs. ... (less allowances for the payment of any option exercise price and taxes) as compensation since ...
  35. 2015 Year End Checklist Published: 2015-12-09 12:26:22
    ... ments and key compensation elements, features and decisions. ... ISS position that stock options vesting on a time-based ... has established post-exercise/vesting holding periods ...
  36. Microsoft Word - LitFeb07_revised.DOC Published: 2007-02-11 16:52:42
    ... contention that MID's decision to pursue racing and ... the board with the proper exercise of their business ... The majority felt that the second option, which was less ...
  37. CORPORATE Published: 2020-10-01 18:33:54
    with a director's ability to exercise independent judgment. ... The status of the pandemic may also in uence the decision. ... to provide the following options for expiring con dential ...
  38. S&C Publication: Treasury Issues Final Rule Establishing Outbound... Published: 2024-11-12 11:31:45
    ... participate in decisions on behalf of a non-U.S. person, and exercises that authority to direct, ... form of an equity grant or option to purchase equity in a ...
  39. Board Special Committees and Conflict Transactions- Recurring... Published: 2006-10-25 10:58:45
    ... The committee will want to exercise independent decision-making and not be seen as deferential to ... optics, that might come along with options such as providing the committee with ...
  40. Microsoft Word - 9392 Weilbriefing_SEC_CG_8_27_v6.doc Published: 2010-08-28 21:28:30
    ... Before finalizing their nomination decisions, nominating committees may wish to ... (thereby excluding securities underlying options that are exercisable but have not been exercised). ...
  41. 2025 WilmerHale IPO Report Published: 2025-03-26 14:00:31
    ... Offering proceeds exclude proceeds from exercise of underwriters' over-allotment options, if applicable. ... in making an investment decision, or if it would have ...
  42. SBA Paycheck Protection Program FAQs Published: 2020-05-26 14:44:27
    ... For purposes of determining control and affiliation, options... effective as if exercised or consummated, as the ... Decisions of SBA's Office of Hearings and Appeals interpret ...
  43. Final Rule Published: 2008-09-24 14:22:53
    ... convertible securities, or exercise of outstanding options, warrants or rights), any purchase ... These commenters asserted that investors typically make investment decisions ...
  44. Proposed Rule: Standards Relating to Listed Company Audit Committees Published: 2025-01-19 12:04:48
    ... Security Futures Products and Standardized Options 3. ... financial information to make informed investment decisions. ... entitle the government to exercise certain rights relating ...
  45. 34-48301 (August 8, 2003) Published: 2025-01-19 12:04:48
    ... the Commission's decision to direct this review.6 ... and greater ability to exercise their rights and ... For example, should securities underlying options be ...
  46. Webcast Transcript "New Twists in Convertible Debt Offerings... Published: 2025-01-19 12:04:49
    ... By picking an exercise price of the warrant or the call option, that really fixes or at least caps off the ... issuer really has to make a decision whether to call, which may ...
  47. Webcast Published: 2025-01-19 12:04:53
    ... Basically, the staff was exercising discretion to not ... Even if you have the option to not provide the disclosure, it makes it harder to make that decision given that people ...
  48. Microsoft Word - 350_200803271805580460.doc Published: 2008-04-03 17:28:51
    ... incentives to deliver options revenue and unlock ... All of the Strategic Investors exercised those warrants in ... to make an informed decision regarding the fairness of ...
  49. Microsoft Word - Alert Memo.DOC Published: 2004-05-18 19:14:56
    ... cash and who makes decisions regarding the deposit, ... security with an optional or mandatory redemption or termination feature that may be exercised when 25% or more of ...
  50. http://www.blankrome.com/index.cfm?contentID=37&itemID=1265 Published: 2007-05-30 18:04:01
    ... make use of the 5% ADTV option, but may deregister under ... offerings, and (3) exercise of outstanding rights of ... from legislation, court decisions, and administrative ...
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