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

Holland & Knight LLP
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USA
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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

CalSTRS and CalPERS adopt policies on corporate political contributions disclosure

Holland & Knight LLP
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USA
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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."

NASDAQ proposes to reduce initial listing bid price requirement

Holland & Knight LLP
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USA
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February 7 2012

On January 13, 2012, The NASDAQ Stock Market LLC filed a proposed rule change to adopt an alternative to its $4 initial listing bid price requirement for the NASDAQ Capital Market

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

Holland & Knight LLP
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USA
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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 releases 20 FAQs on 2012 compensation guidelines

Holland & Knight LLP
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USA
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February 7 2012

On January 25, 2012, Institutional Shareholder Services (ISS) released 20 frequently asked questions on its 2012 compensation guidelines

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

Holland & Knight LLP
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USA
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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

FINRA ordered by SEC to improve internal compliance policies and procedures

Holland & Knight LLP
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USA
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November 7 2011

On October 27, 2001, the SEC ordered FINRA to obtain, within 30 days, the services of an independent consultant that will conduct a one-time comprehensive review of FINRA's policies and procedures and training relating to document integrity

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

Holland & Knight LLP
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USA
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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

Delaware court refuses to enjoin merger despite lack of typical fiduciary safeguards due to board's expertise in corporation's business

Holland & Knight LLP
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USA
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November 7 2011

Under Delaware law, a board of directors entering into a change of control transaction involving the sale of a company must secure the best value reasonably attainable for the company's stockholders

ISS publishes draft proxy voting guidelines

Holland & Knight LLP
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USA
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November 7 2011

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

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