Tag Archives: Compensation

SEC Proposes Rule Prohibits Investment Advisers from Paying Risky Incentive-Based Compensation

March 06, 2011

Pursuant to Section 956 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the United States Securities and Exchange Commission (“SEC”) has proposed a rule that would require some financial institutions to disclose all incentive-based compensation arrangements and would prohibit those financial institutions from employing risky performance based compensation arrangements.  Included under this rule, would be broker-dealers and investment advisers with more than $1 billion in assets under management.

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