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Results: 1-10 of 34

NYSE governance rule changes to be effective on January 1, 2010

  • Hogan Lovells
  • -
  • USA
  • -
  • December 23 2009

The SEC recently approved amendments to the NYSE’s corporate governance listing standards that will be effective on January 1, 2010

SEC amends rules to enhance compensation and governance disclosure

  • Hogan Lovells
  • -
  • USA
  • -
  • December 23 2009

On December 16, the SEC adopted rule amendments to enhance executive compensation and corporate governance disclosure in proxy statements and annual reports

Company avoids SEC charges for Regulation FD violation

  • Hogan Lovells
  • -
  • USA
  • -
  • October 5 2009

On September 24, the SEC announced in Litigation Release No. 21222 that it had settled enforcement proceedings against a public company CFO charged with selectively disclosing earnings guidance to analysts in violation of Regulation FD, or “Fair Disclosure.”

Compliance with Form D electronic filing and other Form D changes now mandatory

  • Hogan Lovells
  • -
  • USA
  • -
  • March 16 2009

Beginning on March 16, issuers in limited and private securities offerings are required to file electronically with the SEC new and amended Form D notices pursuant to Regulation D under the Securities Act

SEC proposes proxy access rules for shareholder director nominations

  • Hogan Lovells
  • -
  • USA
  • -
  • June 23 2009

On June 10, the SEC issued controversial proposals that would provide public company shareholders with the ability to include in their company’s proxy materials their own nominees for election to the company’s board of directors

SEC again extends auditor attestation compliance date for non-accelerated filers

  • Hogan Lovells
  • -
  • USA
  • -
  • October 20 2009

On October 13, the SEC published rule amendments extending once again the deadline for nonaccelerated filers to include in their Form 10-K annual reports an attestation report of their independent auditors on internal control over financial reporting in accordance with Section 404 of the Sarbanes-Oxley Act

SEC proposes changes to Internet proxy solicitation requirements

  • Hogan Lovells
  • -
  • USA
  • -
  • October 26 2009

On October 14, the SEC proposed revisions to its rules relating to Internet proxy solicitations that are primarily intended to increase the participation of retail shareholders in the proxy voting process by removing regulatory impediments that may be reducing their participation

SEC approves NYSE rule change to eliminate broker discretionary voting in director elections

  • Hogan Lovells
  • -
  • USA
  • -
  • July 10 2009

On July 1, 2009, a divided SEC approved a longstanding proposal by the New York Stock Exchange to amend its Rule 452 and corresponding Section 402

Company settles Regulation FD violation

  • Hogan Lovells
  • -
  • USA
  • -
  • April 2 2010

The SEC recently announced that it has settled enforcement proceedings against a public company charged with selectively disclosing, through its president and CEO, material nonpublic information regarding the company's financial performance to a registered investment adviser in violation of Regulation FD, or "Fair Disclosure."

Second Circuit provides guidance on forward-looking statements

  • Hogan Lovells
  • -
  • USA
  • -
  • June 18 2010

The U.S. Court of Appeals for the Second Circuit recently ruled in Slayton v. American Express Co. that forward-looking statements by American Express regarding anticipated losses on its high-yield debt investments were protected by the safe harbor from antifraud liability afforded to such statements by the Private Securities Litigation Reform Act of 1995 (PSLRA

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