Search results

Order by most recent / most popular / relevance

Results: 1-10 of 324

SEC charges city of Harrisburg with fraud

Holland & Knight LLP
-
USA
-
May 13 2013

On Monday, May 6, 2013, the Securities and Exchange Commission (SEC) charged the city of Harrisburg, Pennsylvania with securities fraud "for its

NYSE issues guidance on use of social media as a disclosure tool

Holland & Knight LLP
-
USA
-
April 29 2013

On April 2, 2013, the SEC issued a report and press release making it clear that companies are permitted to use social media outlets to disclose

FINRA submits rulemaking items to the SEC for comment and approval

Holland & Knight LLP
-
USA
-
April 29 2013

At its April 2013 board meeting, the Financial Industry Regulatory Authority (FINRA) Board of Governors approved several proposed rule changes that

NYSE proposes to remove separate voting standard for listed companies

Holland & Knight LLP
-
USA
-
April 29 2013

The New York Stock Exchange (NYSE) recently filed a proposal with the Securities and Exchange Commission (SEC) to delete Rule 312.07 of its listing

SEC files initial brief in conflict minerals rule case

Holland & Knight LLP
-
USA
-
April 15 2013

The SEC recently filed its initial brief in the case pending in the United States Court of Appeals for the D.C. Circuit in which the National

Division of investment management issues guidance on filing requirements of communications made in social media

Holland & Knight LLP
-
USA
-
April 15 2013

On March 15, 2013, the SEC's Division of Investment Management (the "division") issued guidance on the filing requirements for electronic

SEC issues guidance on the use of social media to disclose company information

Holland & Knight LLP
-
USA
-
April 15 2013

On April 2, 2013, the SEC provided guidance on the use of social media to disclose company information in a Report of Investigation under Section

SEC's Division of Trading and Markets grants relief from broker-dealer registration for online platform that permits investment in start-up companies

Holland & Knight LLP
-
USA
-
April 15 2013

On March 26, 2013, the SEC's Division of Trading and Markets issued a no-action letter indicating that it would not recommend enforcement action

SOX whistleblower protection expanded by a federal appeals court

Holland & Knight LLP
-
USA
-
April 5 2013

A federal appeals court recently made it substantially easier for plaintiffs to assert claims that they were fired for "whistleblowing" activity

SEC's division of trading and markets releases FAQs regarding Rule 15a-6 and foreign broker-dealers

Holland & Knight LLP
-
USA
-
April 1 2013

Rule 15a-6 under the Securities Exchange Act of 1934 provides conditional exemptions from broker-dealer registration for foreign broker-dealers that

next >

Search results

SEC charges city of Harrisburg with fraud

NYSE issues guidance on use of social media as a disclosure tool

FINRA submits rulemaking items to the SEC for comment and approval

NYSE proposes to remove separate voting standard for listed companies

SEC files initial brief in conflict minerals rule case

Division of investment management issues guidance on filing requirements of communications made in social media

SEC issues guidance on the use of social media to disclose company information

SEC's Division of Trading and Markets grants relief from broker-dealer registration for online platform that permits investment in start-up companies

SOX whistleblower protection expanded by a federal appeals court

SEC's division of trading and markets releases FAQs regarding Rule 15a-6 and foreign broker-dealers

Current Search

Suggested Facets

Author

Jurisdiction

Workarea