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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 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

NYSE deems group of governance proposals to be "non-routine"

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

On January 25, 2012, the NYSE released Informational Memo 12-4 which announced revisions to the applicability of Rule 452 to certain types of corporate governance proxy proposals

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 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

Federal Court keeps FHFA's mortgage-backed securities case against UBS alive

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

On May 4, 2012, the United States District Court for the Southern District of New York rejected UBS Americas, Inc.'s motion to dismiss federal securities claims brought against it by the Federal Housing Finance Agency

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