Search results

Order by most recent / most popular / relevance

Results: 1-10 of 14

SEC settles Regulation FD violations regarding trust preferred redemption

Holland & Knight LLP
-
USA
-
December 12 2011

On November 22, 2011, the SEC announced a settlement regarding Regulation FD violation allegations

NYSE deems group of governance proposals to be "non-routine"

Holland & Knight LLP
-
USA
-
February 7 2012

On January 25, 2012, the NYSE released Informational Memo 12-4 which announced revisions to the applicability of Rule 452 to certain types of corporate governance proxy proposals

Changes to form 10-Q and 10-K: mine safety disclosures

Holland & Knight LLP
-
USA
-
February 7 2012

On January 27, 2012, changes to Forms 8-K, 10-Q, 10-K, 20-F and 40-F under the Securities Exchange Act of 1934 went into effect which apply to all companies, even if there is no mine safety disclosure required

Federal court holds that stock trades pursuant to 10b5-1 plans are evidence of scienter

Holland & Knight LLP
-
USA
-
February 7 2012

On November 23, 2011, the U.S. District Court for the Southern District of California denied a motion for summary judgment made by defendants in a securities fraud class action based, in part, on the grounds that the defendants' 10b5-1 trading plans were evidence of scienter

ISS publishes draft proxy voting guidelines

Holland & Knight LLP
-
USA
-
November 7 2011

On October 18, 2011, Institutional Shareholder Services, Inc. (ISS) published for comment its proposed 2012 updates to its proxy voting guidelines

Foreign private issuers can no longer submit filings on a confidential basis

Holland & Knight LLP
-
USA
-
December 12 2011

On December 8, 2011, the Division of Corporation Finance announced that, effective immediately, the policies controlling the filings of foreign private issuers and governments would be amended

SEC staff to release filing review correspondence earlier

Holland & Knight LLP
-
USA
-
December 12 2011

On December 1, 2011, the SEC announced that, starting January 1, 2012, comment letters and response letters relating to disclosure filings reviewed by the Divisions of Corporation Finance and Investment Management will be released by the staff of the SEC "no earlier than 20 business days" following the completion of a filing review

Southern District of New York dismisses Madoff suit by foreign investors under SLUSA

Holland & Knight LLP
-
USA
-
December 12 2011

On November 29, 2011, the Southern District of New York (SDNY), dismissed claims by a class of foreign plaintiffs who invested in foreign feeder funds that invested in the ponzi scheme orchestrated by Bernard L. Madoff ("Madoff") and Bernard L. Madoff Investment Securities LLC ("Madoff Securities"

House Financial Services Subcommittee passes five bills to ease the regulatory burden on small businesses

Holland & Knight LLP
-
USA
-
November 7 2011

On October 5, 2011, the House Financial Services Capital Markets and Government Sponsored Enterprises Subcommittee passed five bills to ease the regulatory burden on small businesses and emerging growth companies

CalSTRS and CalPERS adopt policies on corporate political contributions disclosure

Holland & Knight LLP
-
USA
-
February 7 2012

CalSTRS announced they had formally adopted a policy calling for portfolio companies to annually report their expenditures on political contributions and make that information "readily accessible to shareholders."

next >