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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

Delaware Chancery Court addresses indemnification and advancement of legal expenses

Holland & Knight LLP
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USA
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March 26 2012

A recent opinion from the Delaware Chancery Court addresses directors' and officers' indemnification and advancement rights

SEC issues alert on strengthening compliance practices for underwriting muni bonds

Holland & Knight LLP
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USA
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March 26 2012

On March 19, 2012, the SEC issued a risk alert on compliance measures to assist broker-dealers in fulfilling their due diligence duties when underwriting offerings of municipal securities

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

Cornerstone Research releases report on securities class action settlements in 2011

Holland & Knight LLP
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USA
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March 26 2012

Cornerstone Research recently released its annual report on securities class action settlements for 2011

Two say-on-pay related derivative suits recently dismissed

Holland & Knight LLP
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USA
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March 26 2012

Recently, two say-on-pay related derivative suits were dismissed by courts in California and Maryland

House of Rrepresentatives passes the JOBS Act; Senate passes same with changes; Act heads back to the House

Holland & Knight LLP
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USA
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March 26 2012

On March 8, 2012, the House of Representatives passed H.R. 3606, the Jumpstart Our Business Startups Act (the "JOBS Act" or the "Act"

SEC Division of Corporation Finance to consider revisions to foreign private issuer reporting system

Holland & Knight LLP
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USA
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March 26 2012

On March 8, 2012, Meredith Cross, director at the SEC's Division of Corporation Finance, delivered a speech at the Annual Institute on Securities Regulation in Europe, in which she addressed, among other topics, the SEC's analysis of possible future changes to foreign private issuer reporting

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