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Results: 1-10 of 22

Foreign private issuers can no longer submit filings on a confidential basis

  • Holland & Knight LLP
  • -
  • USA
  • -
  • December 12 2011

On December 8, 2011, the Division of Corporation Finance announced that, effective immediately, the policies controlling the filings of foreign private issuers and governments would be amended

SEC settles Regulation FD violations regarding trust preferred redemption

  • Holland & Knight LLP
  • -
  • USA
  • -
  • December 12 2011

On November 22, 2011, the SEC announced a settlement regarding Regulation FD violation allegations

SEC staff to release filing review correspondence earlier

  • Holland & Knight LLP
  • -
  • USA
  • -
  • December 12 2011

On December 1, 2011, the SEC announced that, starting January 1, 2012, comment letters and response letters relating to disclosure filings reviewed by the Divisions of Corporation Finance and Investment Management will be released by the staff of the SEC "no earlier than 20 business days" following the completion of a filing review

Southern District of New York dismisses Madoff suit by foreign investors under SLUSA

  • Holland & Knight LLP
  • -
  • USA
  • -
  • December 12 2011

On November 29, 2011, the Southern District of New York (SDNY), dismissed claims by a class of foreign plaintiffs who invested in foreign feeder funds that invested in the ponzi scheme orchestrated by Bernard L. Madoff ("Madoff") and Bernard L. Madoff Investment Securities LLC ("Madoff Securities"

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

SEC issues guidance on legality and tax opinions in registered offerings

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

On October 14, 2011, the staff of the Division of Corporate Finance of the SEC issued a legal bulletin which provides guidance on preparing legality and tax opinions filed in connection with registered offerings of securities

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

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."

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