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SEC settles Regulation FD violations regarding trust preferred redemption
- Holland & Knight LLP
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- USA
- -
- December 12 2011
On November 22, 2011, the SEC announced a settlement regarding Regulation FD violation allegations
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."
ISS publishes draft proxy voting guidelines
- Holland & Knight LLP
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- 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
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 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"
House Financial Services Subcommittee passes five bills to ease the regulatory burden on small businesses
- Holland & Knight LLP
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- 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
FINRA ordered by SEC to improve internal compliance policies and procedures
- Holland & Knight LLP
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- 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
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
SEC highlights use of cooperation initiative
- Holland & Knight LLP
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- USA
- -
- April 23 2012
The SEC often relies on the cooperation of individuals in pursuing its investigations
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