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Results: 1-10 of 11

FINRA ordered by SEC to improve internal compliance policies and procedures

  • Holland & Knight LLP
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • 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
  • -
  • USA
  • -
  • November 7 2011

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

Strategic dialogue meeting between SEC and FSA

  • Holland & Knight LLP
  • -
  • United Kingdom, USA
  • -
  • October 21 2011

On October 13, 2011, SEC Chairwoman Mary L. Schapiro and senior SEC staff met with the UK Financial Services Authority's (FSA) Chief Executive, Hector Sants, and its Managing Director of the Conduct Business Unit, Martin Wheatley, as part of the continual SEC-FSA Strategic Dialogue to discuss regulatory approaches to current issues

Delaware court awards largest judgment in Delaware history for breach of fiduciary duty in spite of special committee's approval of insider transaction

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 21 2011

More than 25 years ago, the Delaware Supreme Court established the "entire fairness" test for analyzing transactions in which a controlling stockholder stands on both sides of the deal

SEC issues staff legal bulletin on shareholder proposals

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 21 2011

Proposals On October 18, 2011, the SEC Division of Corporation Finance issued Staff Legal Bulletin No. 14F ("Shareholder Proposals"

First meeting of the SEC Advisory Committee on Small and Emerging Companies scheduled for October 31

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 21 2011

The first meeting of the SEC's Advisory Committee on Small and Emerging Companies will be held on October 31, 2011, at 9 a.m. at the SEC headquarters

SEC publishes guidance on disclosure obligations relating to cybersecurity risks and cyber incidents

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 21 2011

On October 13, 2011, the SEC's Division of Corporation Finance released "CF Disclosure Guidance: Topic No. 2 Cybersecurity."

FINRA proposes Rule 5123 to require filing of private placements

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 21 2011

On October 4, 2011, the Financial Industry Regulatory Association (FINRA) filed a proposal with the SEC to adopt new Rule 5123