Search results

Order by most recent / most popular / relevance

Results: 1-10 of 52

SEC provides guidance and temporary relief regarding security-based swap provisions of Dodd-Frank Act

Holland & Knight LLP
-
USA
-
June 20 2011

On June 15, 2011, the SEC provided guidance as to which of the Title VII requirements of the Dodd-Frank Act will apply to security-based swap transactions as of July 16, the effective date of Title VII

SEC issues final rules on beneficial ownership reporting requirements for security-based swaps

Holland & Knight LLP
-
USA
-
June 20 2011

To preserve the application of the SEC's existing beneficial ownership rules to persons who purchase or sell security-based swaps, on June 8, 2011, the SEC readopted without change the relevant portions of Rules 13d-3 and 16a-1

Reverse merger companies: SEC issues investor bulletin addressing risks of investment and NASDAQ issues proposed rule change for listing requirements

Holland & Knight LLP
-
USA
-
June 20 2011

On June 9, 2011, the SEC issued an Investor Bulletin detailing the risks of investing in companies that "go public" by utilizing a reverse merger

Supreme Court rules loss causation need not be proven at class certification

Holland & Knight LLP
-
USA
-
June 20 2011

On June 6, 2011, the U.S Supreme Court ruled that plaintiffs in securities fraud actions do not need to prove loss causation at the class certification stage

Delaware Chancery Court decides case on timing of annual stockholders meetings and advance notice requirements for stockholder proposals

Holland & Knight LLP
-
USA
-
June 20 2011

On June 3, 2011, the Delaware Court of Chancery refused to enjoin a stockholders meeting and enforced an advance notice requirement regarding stockholder proposals imposed by the company's proxy statement rather than its bylaws

Division of Corporation Finance updates Financial Reporting Manual

Holland & Knight LLP
-
USA
-
July 11 2011

On July 1, 2011, the Division of Corporation Finance updated the Division of Corporation Finance Financial Reporting Manual

SEC approves final rules regarding extension of investment adviser registration deadline

Holland & Knight LLP
-
USA
-
July 11 2011

On June 22, 2011, making formal what had been widely expected, the SEC extended to March 30, 2012, the deadline for previously exempt investment advisers, now required under the Dodd-Frank Act to register with the SEC

SEC releases observations from review of interactive data financial statements

Holland & Knight LLP
-
USA
-
July 11 2011

On June 15, 2011 the SEC published observations from its review on filings submitted during the first two months of 2011

Consider drafting employment agreements with claw back policies in mind

Holland & Knight LLP
-
USA
-
July 11 2011

Section 954 of the Dodd-Frank Act directs the SEC to require national securities exchanges to adopt listing standards so that listed, publicly held corporations must develop and implement policies to “claw back” executive compensation in the event of a financial restatement

Public Company Accounting Oversight Board issues concept release regarding audited financial statements

Holland & Knight LLP
-
USA
-
July 11 2011

On June 21, 2011, the Public Company Accounting Oversight Board (PCAOB) issued a concept release relating to possible revisions to the PCAOB’s standards relating to reports on audited financial statements

next >