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Division of investment management issues guidance on filing requirements of communications made in social media

Holland & Knight LLP
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USA
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April 15 2013

On March 15, 2013, the SEC's Division of Investment Management (the "division") issued guidance on the filing requirements for electronic

SEC issues guidance on the use of social media to disclose company information

Holland & Knight LLP
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USA
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April 15 2013

On April 2, 2013, the SEC provided guidance on the use of social media to disclose company information in a Report of Investigation under Section

SEC gets five years to seek civil penalties for fraud

Holland & Knight LLP
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USA
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March 18 2013

On February 27, 2013, the U.S. Supreme Court decided that if the SEC wants to bring civil penalties against an investment adviser for fraud, there is

SEC announces 2013 examination priorities

Holland & Knight LLP
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USA
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March 4 2013

On February 21, 2013, the National Examination Program in the SEC's Office of Compliance Inspections and Examinations released its examination

FINRA answers frequently asked questions regarding public offerings

Holland & Knight LLP
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USA
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February 11 2013

On February 2, 2013, FINRA released answers to frequently asked questions (FAQs) regarding rules for making public offerings. The topics discussed

SEC approves alternative to NASDAQ $4 per share initial listing bid price requirement

Holland & Knight LLP
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USA
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May 22 2012

On April 18, 2012, the SEC approved on an accelerated basis a proposed rule change by NASDAQ to adopt an alternative to the $4 minimum bid price initial listing requirement for the NASDAQ Capital Market of either $2 or $3, if certain other listing requirements are met

Division of Corporation Finance issues guidance on disclosures of smaller financial institutions

Holland & Knight LLP
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USA
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May 22 2012

On April 20, 2012, the SEC's Division of Corporation Finance issued staff observations to provide guidance to smaller financial institutions

Division of Corporation Finance updates its confidential submission process for registration statements

Holland & Knight LLP
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USA
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May 22 2012

On May 4, 2012, the SEC Division of Corporation Finance issued an update to its confidential submission process for Emerging Growth Companies and certain foreign private issuers under the Jumpstart Our Business Startups Act

SEC issues 24 more JOBS Act FAQs

Holland & Knight LLP
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USA
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May 22 2012

On May 3, 2012, the SEC Division of Corporation Finance issued Frequently Asked Questions (FAQs) 18-41 related to the JOBS Act on EGCs and scaled disclosure

Federal Court keeps FHFA's mortgage-backed securities case against UBS alive

Holland & Knight LLP
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USA
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May 22 2012

On May 4, 2012, the United States District Court for the Southern District of New York rejected UBS Americas, Inc.'s motion to dismiss federal securities claims brought against it by the Federal Housing Finance Agency