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UPDATE 1-U.S. SEC adopts shareholder say-on-pay rules

Published 01/25/2011, 11:44 AM
Updated 01/25/2011, 11:47 AM
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* Dodd-Frank law directed SEC to write say-on-pay rules

* SEC proposes new reporting rules for private funds

* Proposes change to sophisticated investor rule (Adds SEC votes, detail on rules, commissioner quote)

By Sarah N. Lynch

WASHINGTON, Jan 25 (Reuters) - Shareholders of publicly listed companies will get to weigh in on executive compensation through advisory votes, under a new rule adopted by U.S. securities regulators on Tuesday.

The "say-on-pay" rules, approved in a 3-2 vote by the Securities and Exchange Commission, would implement a provision in the Dodd-Frank Wall Street reform law.

It is designed to give shareholders greater input over executive compensation after many investors expressed outrage during the financial crisis at lavish pay practices.

The say-on-pay vote is non-binding, although companies generally want to avoid the embarrassment of a "no" vote.

Shareholders would also get to vote on certain so-called "golden parachute" pay packages in connection with a merger or acquisition, and companies would be required to make additional disclosures about such compensation arrangements.

Republican commissioners dissented on the rule in part because it only gives a temporary exemption to small public companies.

The rule "should have afforded smaller companies an outright exemption," said Republican Commissioner Troy Paredes.

In other actions on Tuesday, the SEC unanimously proposed that advisers to hedge funds and other private funds report key information to regulators.

The proposal, also required by the Dodd-Frank law, would arm the newly formed Financial Stability Oversight Council with better information about hedge funds and other private pools of capital to ensure their trading activities do not pose a risk to the broader marketplace.

SEC Chairman Mary Schapiro said the most stringent reporting requirements under the rule will apply to about 200 U.S.-based large hedge fund advisers, representing more than 80 percent of assets under management.

About 250 U.S. based advisers to large-sized private equity funds would be subject to the more extensive reporting rules as well, she said.

"Today's proposal stems from the lessons learned during the recent financial crisis, lessons about the importance of monitoring and reducing the possibility that a sudden shock or failure will cascade through the entire financial system," Schapiro said.

The SEC also took steps on Tuesday to make it more difficult for some high-net worth investors to qualify for certain riskier investments.

The proposal, put out for public comment by the commissioners in a 5-0 vote, would adjust the legal definition of who can qualify as an "accredited investor."

Under current federal securities laws, anyone whose net worth is more than $1 million can qualify as an accredited investor and participate in private offerings.

But after the financial crisis caused many Americans to lose significant life-savings, the SEC is proposing to exclude the value of a person's home when calculating net worth. (Reporting by Sarah N. Lynch; Editing by Tim Dobbyn)

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