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Results: 1-10 of 182

SEC proposes rules for pay ratio disclosure

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 4 2013

At an open meeting on September 18, 2013, the Securities and Exchange Commission (SEC) approved for public comment proposed "pay ratio" disclosure

SEC lifts ban on general solicitation and advertising in private placements

  • Holland & Knight LLP
  • -
  • USA
  • -
  • July 18 2013

Until Congress passed the Jumpstart Our Business Startups Act (JOBS Act) in April, 2012, those seeking to raise capital through the sale of

NASDAQ withdraws rule proposal that would have required listed companies to have an internal audit function

  • Holland & Knight LLP
  • -
  • USA
  • -
  • June 3 2013

As discussed in our March 18, 2013 issue of Securities and Financial News to Note, on February 20, 2013, the NASDAQ Stock Market (NASDAQ) filed with

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

  • Holland & Knight LLP
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • February 11 2013

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

ISS issues two sets of FAQS: 102 FAQS on compensation policies and 77 FAQS on non-compensation-related questions

  • Holland & Knight LLP
  • -
  • USA
  • -
  • January 9 2013

On December 20, 2012, ISS released two lengthy sets of FAQs on 2013 compensation and non-compensation related policies. The following are issues addressed

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

  • Holland & Knight LLP
  • -
  • USA
  • -
  • 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