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Results: 1-10 of 43

Preparing 2013 proxy statements and periodic reports

  • Holland & Knight LLP
  • -
  • USA
  • -
  • February 11 2013

As you gear up to prepare your 2013 proxy statement and periodic reports, it is essential to keep in mind some recent changes and developments that

District courts differ over interpretation of Janus in SEC enforcement actions

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 10 2011

In the wake of Janus Capital Group, Inc. v. First Derivative Traders, 131 S. Ct. 2296 (2011), in which the U.S. Supreme Court held that secondary actors could not be held liable for false statements made by others, the SEC has attempted to circumvent Janus by seeking to establish primary liability through sections of the securities laws not discussed in Janus

SEC to publish updated market-wide circuit breaker proposals

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 10 2011

On September 27, 2011, the SEC announced that the national securities exchanges and FINRA are filing proposals to revise existing market-wide circuit breakers that are designed to address extraordinary volatility across the securities markets

Review of ISS 2011-2012 policy survey results

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 10 2011

On September 26, 2011, Institutional Shareholder Services (ISS) released its 2011-2012 Policy Survey Summary Results, which summarizes the responses ISS received as part of its annual policy survey

Fee rate advisory for fiscal year 2012

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 10 2011

Starting fiscal year 2012, which began October 1, 2011, those companies seeking to register their securities with the SEC will pay a reduced fee, $114.60 per million dollars, as opposed to the previous rate of $116.10 per million dollars

SEC issues report on rating agencies

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 10 2011

On September 30, 2011, the SEC staff issued the summary report of its examinations of the 10 credit rating agencies registered with the SEC as Nationally Recognized Rating Organizations (the “NRSROs”

Say-on-pay law suits: 1-1 tie

  • Holland & Knight LLP
  • -
  • USA
  • -
  • October 10 2011

The Dodd-Frank Wall Street Reform Act (the “Dodd Frank Act”) requires publicly traded companies to include a separate shareholder resolution to approve executive compensation in their annual proxy statements at least once every three years

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

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