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Delaware Chancery Court addresses indemnification and advancement of legal expenses

Holland & Knight LLP
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USA
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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
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USA
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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

Two say-on-pay related derivative suits recently dismissed

Holland & Knight LLP
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USA
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March 26 2012

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

FINRA answers frequently asked questions regarding public offerings

Holland & Knight LLP
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USA
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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 to raise dollar thresholds for charging performance fees by investment advisers

Holland & Knight LLP
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USA
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June 6 2011

The SEC has proposed rules and issued a notice that it intends to raise the qualification requirements of persons who can pay performance based compensation to registered investment advisers

Supreme Court rules loss causation need not be proven at class certification

Holland & Knight LLP
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USA
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June 20 2011

On June 6, 2011, the U.S Supreme Court ruled that plaintiffs in securities fraud actions do not need to prove loss causation at the class certification stage

Delaware Chancery Court decides case on timing of annual stockholders meetings and advance notice requirements for stockholder proposals

Holland & Knight LLP
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USA
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June 20 2011

On June 3, 2011, the Delaware Court of Chancery refused to enjoin a stockholders meeting and enforced an advance notice requirement regarding stockholder proposals imposed by the company's proxy statement rather than its bylaws

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

Holland & Knight LLP
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USA
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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 provides guidance and temporary relief regarding security-based swap provisions of Dodd-Frank Act

Holland & Knight LLP
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USA
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June 20 2011

On June 15, 2011, the SEC provided guidance as to which of the Title VII requirements of the Dodd-Frank Act will apply to security-based swap transactions as of July 16, the effective date of Title VII

SEC issues final rules on beneficial ownership reporting requirements for security-based swaps

Holland & Knight LLP
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USA
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June 20 2011

To preserve the application of the SEC's existing beneficial ownership rules to persons who purchase or sell security-based swaps, on June 8, 2011, the SEC readopted without change the relevant portions of Rules 13d-3 and 16a-1

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