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Reverse merger companies: SEC issues investor bulletin addressing risks of investment and NASDAQ issues proposed rule change for listing requirements

  • Holland & Knight LLP
  • -
  • USA
  • -
  • June 20 2011

On June 9, 2011, the SEC issued an Investor Bulletin detailing the risks of investing in companies that "go public" by utilizing a reverse merger

Changes to form 10-Q and 10-K: mine safety disclosures

  • Holland & Knight LLP
  • -
  • USA
  • -
  • February 7 2012

On January 27, 2012, changes to Forms 8-K, 10-Q, 10-K, 20-F and 40-F under the Securities Exchange Act of 1934 went into effect which apply to all companies, even if there is no mine safety disclosure required

Delaware Chancery Court addresses indemnification and advancement of legal expenses

  • Holland & Knight LLP
  • -
  • USA
  • -
  • March 26 2012

A recent opinion from the Delaware Chancery Court addresses directors' and officers' indemnification and advancement rights

Federal court holds that stock trades pursuant to 10b5-1 plans are evidence of scienter

  • Holland & Knight LLP
  • -
  • USA
  • -
  • February 7 2012

On November 23, 2011, the U.S. District Court for the Southern District of California denied a motion for summary judgment made by defendants in a securities fraud class action based, in part, on the grounds that the defendants' 10b5-1 trading plans were evidence of scienter

SEC issues alert on strengthening compliance practices for underwriting muni bonds

  • Holland & Knight LLP
  • -
  • USA
  • -
  • March 26 2012

On March 19, 2012, the SEC issued a risk alert on compliance measures to assist broker-dealers in fulfilling their due diligence duties when underwriting offerings of municipal securities

ISS releases 20 FAQs on 2012 compensation guidelines

  • Holland & Knight LLP
  • -
  • USA
  • -
  • February 7 2012

On January 25, 2012, Institutional Shareholder Services (ISS) released 20 frequently asked questions on its 2012 compensation guidelines

SEC approves alternative to NASDAQ $4 per share initial listing bid price requirement

  • Holland & Knight LLP
  • -
  • USA
  • -
  • May 22 2012

On April 18, 2012, the SEC approved on an accelerated basis a proposed rule change by NASDAQ to adopt an alternative to the $4 minimum bid price initial listing requirement for the NASDAQ Capital Market of either $2 or $3, if certain other listing requirements are met

Cornerstone Research releases report on securities class action settlements in 2011

  • Holland & Knight LLP
  • -
  • USA
  • -
  • March 26 2012

Cornerstone Research recently released its annual report on securities class action settlements for 2011

Two say-on-pay related derivative suits recently dismissed

  • Holland & Knight LLP
  • -
  • USA
  • -
  • March 26 2012

Recently, two say-on-pay related derivative suits were dismissed by courts in California and Maryland

PCAOB Chairman raises possibility of mandatory audit firm rotation in recent speech

  • Holland & Knight LLP
  • -
  • USA
  • -
  • June 20 2011

On June 2, 2011, the Public Company Accounting Oversight Board (PCAOB) Chairman, James Doty, spoke before the 30th Annual SEC and Financial Reporting Institute Conference about challenges in improving audit quality and confidence