NYSE and NASDAQ post forms for listed companies to certify compliance with revised compensation committee listing standards

The New York Stock Exchange (NYSE) and the NASDAQ Stock Market announced recently that they have posted on their websites the forms that listed companies must use to certify their compliance with the revised listing standards concerning compensation committees. The NYSE and NASDAQ have amended their listing standards to implement SEC Rule 10C-1 under the Exchange Act, requiring national securities exchanges to establish listing standards concerning the independence of compensation committee members and other compensation committee matters. Companies listed on the NYSE and NASDAQ are required to certify their compliance with some of the revised standards.

The NYSE is including the applicable certification as part of its existing annual written affirmation that is submitted by NYSE-listed companies every year following their annual stockholder meetings. On 16 January, the NYSE updated the annual written affirmation to include representations regarding compliance with its new compensation committee independence requirements. The new version of the form may be submitted electronically through the NYSE’s egovdirect.com electronic filing platform, or alternatively in paper format. The new annual written affirmation is effective for listed companies holding their annual stockholder meetings after 15 January 2014. The deadline for US companies to submit the form generally is the 30th day after the annual stockholder meeting…

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