Quick Surveys

Ongoing Surveys:

- Use of AI & Other Emerging Technologies
- Running Total of Survey Results

2023

• Clawback Policies (October)
• Rule 144: "Affiliates" & Filing Processes (May)

2022

• Board Meeting Health Protocols (January)
• Board Committees - Risk and Cybersecurity (March)

2021

• Insider Trading - COVID-19 Adjustments (September)
• Human Capital Management Topics & Metrics (May)

2020

• Signature Authority Thresholds (November)
• Hedging Policy Disclosure (July)
• Board Evaluations (June)

2019

• Management Representation Letters (September)
• Ending Blackout Periods (July)
• Drafting Proxy Statements, Glossy Annual Reports & Form 10-Ks (May)
• Board Portals (January)

2018

• Board Fees for CEO Search (December)
• Political Spending Oversight (July)
• Whistleblower Policies & Procedures (May)
• Annual Meeting Conduct (April)
• More on Blackout Periods (February)

2017

• Director Compensation (December)
• Pay Ratio Medians (September)
• Regulation FD Policies & Practices (August)
• Pay Ratio Disclosure (August)
• Pay Ratio Readiness (July)
• Board Approval of Form 10-K (June)
• Comp Committee Minutes & Consultants (May)
• Rule 10b5-1 Plan Practices (April)
• Codes of Conduct (March)
• Board Minutes & Auditors (February)

2016

• Management Representation Letters (December)
• Registration Statement Due Diligence (September)
• Proxy Mailing Practices (August)
• Auditing Standard #18: D&O Questionnaires (March)
• Drafting Proxy Statements, Glossy Annual Reports & Form 10-Ks (February)
• "What is a Perk?" (January)

2015

• Annual Meeting Conduct (December)
• Board Portals (June)
• Hedging Policies (May)
• Currency Fluctuations for Incentive Compensation (April)
• Conflict Minerals (March)
• Shareholder Engagement (January)

2014

• Whistleblower Policies & Procedures (December)
• Earnings Releases and Earnings Calls (September)
• Ending Blackout Periods (August)
• CEO Succession Planning (July)
• Distributing Proxy Materials Via E-mail to 401(k) Plan Participants (June)
• Pay Ratios (May)
• Proxy Drafting Responsibilities & Time Consumed (March)
• D&O Questionnaires and Director Independence (February)
• Conflict Minerals (January)

2013

• Deferred Compensation Election Timing (December)
• Usable Disclosure for Proxy Statements (November)
• Annual Meeting Conduct (Oct)
• Exclusive Forum Bylaws (September)
• Loan Prohibitions & Cashless Exercises (August)
• Lead Directors (July)
• Rule 10b5-1 Plan Practices (June)
• End-User Exception for Swaps (May)
• Separating 401(k) SPD & Prospectus (April)
• Voting Options for Registered Shareholders (March)
• Shareholder Engagement (March)
• Internal Audit (February)
• Compensation Consultant Conflicts Disclosure (January)

2012

• Rules of Order for Board Meetings & Annual Meetings (December)
• Conflict Minerals (November)
• Delegation of Authority (October)
• Proxy Solicitors (September)
• Insider Trading Policies: Pledges & Margin Accounts (August)
• Rule 10b-18 & Buybacks (July)
• Audit Committees and Earnings Releases (June)
• HSR & Executives' Acquisitions from Equity Compensation Plans (May)
• GRC Software (April)
• Board Minutes & Auditors (March)
• More on Blackout Periods (February)
• Pay Ratios (January)

2011

• Disclosure Committees (December)
• Stock Repurchase Practices (November)
• D&O Questionnaires and Director Independence (October)
• Whistleblower Policies & Procedures (August/September)
• Regulation FD Practices (June/July)
• Director Resignations (April/May)
• CEO Succession Planning (February/March)
• Director Recruitment & Training (January)

2010

• Clawback Policies (December)
• More on Regulation FD Practices (November)
• Disclosure Controls and Disclosure Committees (October)
• Rule 10b5-1 Plan Practices (September)
• More on Compensation Committees and Compensation Consultants (August)
• Director Education/Orientation (July)
• Annual Meeting Conduct (June-July)
• Code of Ethics and the Board (May-June)
• More on Blackout Periods (March-April)
• Proxy Drafting Responsibilities & Time Consumed (January-February)

2009

• Impact of Loss of Broker Nonvotes for '10 Proxy Season (December)
• D&O Questionnaires and Related-Party Transactions (November)
• Board Committees Interacting with Full Board (October)
• "Affiliates" for Rule 144 Purposes (September)
• Stock Ownership Guidelines (August)
• Audit Committee Oversight and Subsidiaries (July)
• Corporate Airplane Use by Outside Directors (June)
• Compliance Committee (April-May)
• D&O Questionnaires (March)
• Hedging and Other Trading Prohibitions in Insider Trading Policies (January-February)
• Advance Notice Bylaws (January)

2008

• Analyst "Quiet Period" Practices (September-October)
• CEO Succession Planning (September-October)
• Disclosure Committees (July)
• Audit Committees and Earnings Releases (June)
• Earnings Guidance (May)
• Rule 144 Practices (April-May)
• More on Blackout Periods (March)
• Voluntary E-Proxy (January-February)

2007

• Compensation Committees and Compensation Consultants (November-December)
• Lead/Presiding Directors (August)
• Earnings Releases and Earnings Calls (July)
• Blogging Anniversary (May-June)
• Board Evaluations (May-June)
• CD&As (April)
• Director Resignations (March)
• Related-Party Transaction Procedures and Policies (January-February)

2006

• Compensation Committee Meetings/Disclosure Committee Meetings (November-December)
• "What is a Perk?" (October-November)
• More on Regulation FD Practices (September)
• Executive Sessions (July-August)
• Free Writing Prospectuses (May-June)
• Trading Policies for Outside Directors (March-April)
• Auditor Inspection Reports and Engagement Letters (January-February)

2005

• Board Leadership (December-January)
• Director Retirement Age (November)
• Disclosure Controls and Disclosure Committees (September-October)
• Audit Committees and Earnings Releases (August)
• Internal Audit (July)
• More on Blackout Periods (June)
• Director Recruitment (May)
• Regulation FD Practices (April)
• Pre-Approval Policies of Non-Audit Services (March)
• Location of 404 Management Report (February)
• 10-K Delays/Auditor's Evaluation (January)

2004

• Timing of Option Grants (December)
• Code of Ethics for Directors (November)
• Earnings Releases and 10-Qs (September-October)
• Ability to Meet Accelerated Deadlines (August)
• Disclosure Committees (June-July)
• Blackout and Window Periods  (Late April-May)
• Compensation Committees and Compensation Consultants (March - mid-April)
• Shareholder Communications with Directors (late January-February)

2003

• Director Education/Orientation (late November-December)
• Individual Director Evaluations (mid September-early November)
• Reporting Up and QLCC (late July-early September)