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SOX Section 304 clawback suit against former executives not charged with personal misconduct survives motion

  • Holland & Knight LLP
  • -
  • USA
  • -
  • December 10 2012

On November 13, 2012, a federal district court in Austin, Texas, denied a motion to dismiss in the Securities and Exchange Commission's Sarbanes-Oxley Act Section 304 clawback suit against two former executives of a corporation

SEC initiates first stop order proceedings against emerging growth company

  • Holland & Knight LLP
  • -
  • USA
  • -
  • November 19 2012

On October 29, 2012, the SEC announced that it had initiated proceedings to determine whether to issue a stop order to prevent sales of shares in a development stage company that filed a registration statement on Form S-1, which became effective on August 29, 2012

Division of Corporation Finance posts additional JOBS Act-related FAQs

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 8 2012

Recently the SEC's Division of Corporation Finance posted certain additional JOBS Act-related FAQs

SEC announces proposed rules to implement JOBS Act provisions on general solicitation and advertising in certain securities offerings

  • Holland & Knight LLP
  • -
  • USA
  • -
  • September 10 2012

On August 29, 2012, the SEC announced proposed rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings

SEC approves change to Nasdaq rule on permitted non-independent director committee membership

  • Holland & Knight LLP
  • -
  • USA
  • -
  • August 27 2012

On July 19, 2012, the SEC approved a proposed Nasdaq rule change to modify the exception to Nasdaq Rule 5605 that allows a non-independent director of a listed company to serve on its audit committee, compensation committee or nominations committee under exceptional and limited circumstances

Delaware court finds that operating agreement language did not preempt action by written consent permitted by statute

  • Holland & Knight LLP
  • -
  • USA
  • -
  • July 30 2012

On May 29, 2012, the Delaware Court of Chancery issued a decision in a case that concerned whether the language in the operating agreement of a limited liability company (LLC) prescribed the sole manner by which the LLC's members could vote, preempting the statutory default provisions that allow for action by written consent

SEC approves rules and interpretations on key derivatives regulation terms

  • Holland & Knight LLP
  • -
  • USA
  • -
  • July 16 2012

On July 9, 2012, the SEC took a step toward regulating the over-the-counter derivatives market by unanimously approving rules and interpretations for key definitions of certain derivative products

SEC issues "roadmap" on phase-in of derivatives regulation

  • Holland & Knight LLP
  • -
  • USA
  • -
  • June 18 2012

On June 11, 2012, the SEC issued a policy statement regarding over-the-counter derivatives rules to be adopted under Title VII of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"

NASDAQ proposes broadening ability of non-independent directors to serve on board committees

  • Holland & Knight LLP
  • -
  • USA
  • -
  • June 18 2012

On May 30, 2012, NASDAQ filed a proposed rule change with the SEC that would permit non-independent directors to serve on board committees despite having a family member employed by the same company in a non-executive role

Seventh Circuit dismisses securities class action for failure to plead fraud

  • Holland & Knight LLP
  • -
  • USA
  • -
  • June 18 2012

On May 21, 2012, the United States Court of Appeals for the Seventh Circuit dismissed a federal securities class action against a medical device manufacturer

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