Heidi J. Steele

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  Heidi J. Steele Focuses her practice on corporate securities, mergers and acquisitions of public and private companies and corporate counseling. She has extensive experience in public and private equity and debt financings, compliance with disclosure and regulatory requirements, tender offers and mergers, acquisitions and dispositions. She advises public and private corporations on a variety of matters, including securities compliance. Read Heidi Steele's full bio.

Deadlines for the Adoption of Clawback Policies Extended


By , , , , , and on Jun 15, 2023
Posted In Executive Compensation, Fiduciary and Investment Issues

The US Securities and Exchange Commission (SEC) recently approved amendments to clawback policy listing standards proposed by the New York Stock Exchange (NYSE) and the Nasdaq Stock Market LLC (Nasdaq) that extend the effective date of the exchanges’ respective listing standards to October 2, 2023. Issuers listed on the NYSE and Nasdaq now have until...

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SEC Adopts Final Pay Versus Performance Rules


By , , , and on Sep 15, 2022
Posted In Executive Compensation, Fiduciary and Investment Issues, Retirement Plans

On August 25, 2022, the US Securities and Exchange Commission (SEC) adopted final rules to implement the pay versus performance disclosure requirement mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The Dodd-Frank Act added Section 14(i) to the Securities Exchange Act of 1934, which directs the SEC to adopt rules...

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ISS and Glass Lewis Update Proxy Voting Guidelines for 2019


By , , , , , , and on Jan 3, 2019
Posted In Executive Compensation

Institutional Shareholder Services Inc. and Glass, Lewis & Co., LLC both recently issued their annual proxy voting guideline updates. As revised, these guidelines have important implications for companies preparing for the 2019 proxy season. Access the full article.

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Capital Markets & Public Companies Quarterly: Expanding Relief under Smaller Reporting Company, Reg A+ and Rule 701, SEC Enforcement of Cybersecurity Disclosures and Other News


By , , , , , , and on Aug 2, 2018
Posted In Executive Compensation

During the previous quarter, the SEC acted to expand the number of companies that may rely on the “smaller reporting company” scaled disclosure regime and Congress directed revisions to the Regulation A+ and Rule 701 exemptions. The SEC also took enforcement action on a major cybersecurity breach, reinforcing its recent interpretive guidance on the subject....

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Capital Markets & Public Companies Quarterly: 2018 Proxy Season Pointers, Disclosing the “Tax Cuts and Jobs Act,” Shareholder Proposals and ICOs


By , , , , , , and on Jan 25, 2018
Posted In Executive Compensation

The end of a year and beginning of the next generally starts the countdown to the public company proxy season. But before moving into 2018, registrants would be well served by first looking back to the guidance that came out of the SEC at the end of 2017. During the last quarter, the SEC staff...

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SEC Publishes Helpful Guidance on Pay Ratio Disclosure


By , , , , , , and on Oct 26, 2017
Posted In Benefit Controversies, Executive Compensation

The SEC recently confirmed that the new CEO pay ratio disclosure rules mandated in the Dodd-Frank Act will go into effect in the 2018 proxy season. To assist companies in preparation of the new disclosure, the SEC published interpretive guidance on September 21, 2017. Continue reading.

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2016 Proxy Season Checklist – What You Need to Know


By , , , and on Feb 4, 2016
Posted In Employee Benefits, Employment, Executive Compensation

Executive compensation, corporate governance, shareholder engagement and other rule changes and rulemakings for public companies are highlighted in the 2016 Proxy Season Checklist. The list discusses important developments that will affect the upcoming and future proxy seasons, and offers suggestions on how to prepare for them. Read the full article. 

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