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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

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

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

Consider drafting employment agreements with claw back policies in mind

  • Holland & Knight LLP
  • -
  • USA
  • -
  • July 11 2011

Section 954 of the Dodd-Frank Act directs the SEC to require national securities exchanges to adopt listing standards so that listed, publicly held corporations must develop and implement policies to “claw back” executive compensation in the event of a financial restatement

ISS issues two sets of FAQS: 102 FAQS on compensation policies and 77 FAQS on non-compensation-related questions

  • Holland & Knight LLP
  • -
  • USA
  • -
  • January 9 2013

On December 20, 2012, ISS released two lengthy sets of FAQs on 2013 compensation and non-compensation related policies. The following are issues addressed

SEC issues 24 more JOBS Act FAQs

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

On May 3, 2012, the SEC Division of Corporation Finance issued Frequently Asked Questions (FAQs) 18-41 related to the JOBS Act on EGCs and scaled disclosure

FINRA answers frequently asked questions regarding public offerings

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

On February 2, 2013, FINRA released answers to frequently asked questions (FAQs) regarding rules for making public offerings. The topics discussed

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 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 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