We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 13

SEC highlights use of cooperation initiative

  • Holland & Knight LLP
  • -
  • USA
  • -
  • April 23 2012

The SEC often relies on the cooperation of individuals in pursuing its investigations

Delaware court finds rushing to enter into merger before target's positive earnings could be bad faith

  • Holland & Knight LLP
  • -
  • USA
  • -
  • April 23 2012

On April 11, 2012, Delaware Vice Chancellor Nobel denied motions to dismiss complaints that challenged a merger which is alleged to have been intentionally entered into before positive earnings were released so that stockholders would view the merger terms more favorably than if they were aware of the positive earnings report

Florida increases criminal penalties for sales of unregistered securities

  • Holland & Knight LLP
  • -
  • USA
  • -
  • April 23 2012

Under a new Florida law, beginning July 1, 2012, persons guilty of selling unregistered securities or failing to register as a seller of non-exempt securities will be subject to higher prison sentences, up to a maximum of five years

Division of Corporation Finance issues 17 new JOBS Act frequently asked questions

  • Holland & Knight LLP
  • -
  • USA
  • -
  • April 23 2012

On April 16, 2012, the SEC's Division of Corporation Finance posted new guidance regarding Title I of the Jumpstart Our Business Startups Act (the JOBS Act), which covers scaled disclosure provisions for emerging grown companies (EGCs

SEC staff releases report on Regulation D offerings

  • Holland & Knight LLP
  • -
  • USA
  • -
  • April 23 2012

On April 12, 2012, the Division of Risk, Strategy and Financial Innovation of the SEC issued a report entitled "Capital Raising in the U.S.: The Significance of Unregistered Offerings Using the Regulation D Exemption."

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

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"

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

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

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