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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

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"

SEC announces 2013 examination priorities

  • Holland & Knight LLP
  • -
  • USA
  • -
  • March 4 2013

On February 21, 2013, the National Examination Program in the SEC's Office of Compliance Inspections and Examinations released its examination

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

SEC Chairman Mary Schapiro discusses say-on-pay provisions and the timing for other Dodd-Frank rulemaking

  • Holland & Knight LLP
  • -
  • USA
  • -
  • November 21 2011

In a speech given on November 2, 2011, SEC Chairman Mary L. Schapiro discussed the regulations put in place through Dodd-Frank, specifically the say-on-pay provisions

SEC gets five years to seek civil penalties for fraud

  • Holland & Knight LLP
  • -
  • USA
  • -
  • March 18 2013

On February 27, 2013, the U.S. Supreme Court decided that if the SEC wants to bring civil penalties against an investment adviser for fraud, there is

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

SEC approves tougher listing standards for reverse merger companies

  • Holland & Knight LLP
  • -
  • USA
  • -
  • November 21 2011

On November 9, 2011, the SEC approved new rules that toughen the standards that companies going public through a reverse merger must meet to become listed on three major U.S. listing markets: NASDAQ, NYSE and NYSE Amex

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

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