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Court rejects shareholder proposal due to insufficient proof of ownership

Holland & Knight LLP
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USA
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April 11 2011

Rather than attempt to exclude a shareholder proposal through the normal SEC channels, a company filed a lawsuit in the Federal District Court for the Southern District of Texas seeking a declaratory judgment that would allow the company to exclude the shareholder proposal submitted by John Chevedden due to his alleged lack of eligibility

Say on pay: companies failing to garner majority support

Holland & Knight LLP
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USA
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March 28 2011

According to ISS Voting Analytics data as of March 22, 2011, over 90 of companies have garnered majority support in their say on pay votes; however, four companies have failed to receive majority support in their say on pay votes during the 2011 proxy season

SEC obtains clawback in enforcement action

Holland & Knight LLP
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USA
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March 28 2011

On March 3, 2011, the SEC filed an action against the president and chief executive officer of a company, seeking to recover bonuses and other incentive-based and equity-based compensation and stock sale profits received while the company was committing accounting fraud

Sec proposes to readopt Rules 13d-3 and 16a-1 with respect to applicability to security-based swaps

Holland & Knight LLP
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USA
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March 28 2011

To preserve the application of the SEC's existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934, on March 17, 2011, the SEC proposed to readopt without change the relevant portions of Rules 13d-3 and 16a-1

U.S. Supreme Court issues pro-plaintiff securities law decision

Holland & Knight LLP
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USA
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March 28 2011

On March 22, 2011, the U.S. Supreme Court issued a unanimous decision, finding that drug companies must disclose any adverse event reports that could alter the total mix of information available to investors

SEC proposes rules requiring disclosure of incentive-based compensation arrangements at financial institutions

Holland & Knight LLP
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USA
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March 14 2011

On March 2, 2011, the SEC proposed rules that require certain financial institutions to disclose the structure of their incentive-based compensation practices and prohibit such institutions from maintaining compensation practices that encourage inappropriate risks

SEC Division of Corporation Finance issues new CDIs on a variety of topics

Holland & Knight LLP
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USA
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March 14 2011

On March 4, 2011, the SEC's Division of Corporation Finance issued new Compliance and Disclosure Interpretations (CDIs) covering a variety of matters, including one on the CD&A, two on Rule 144, two on free writing prospectuses and two on director disclosures, as well as two others

SEC issues new Staff Accounting Bulletin Number 114

Holland & Knight LLP
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USA
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March 14 2011

On March 7, 2011, the SEC's Office of the Chief Accountant and Division of Corporate Finance jointly issued Staff Accounting Bulletin (SAB) Number 114, which revises or rescinds portions of the interpretative guidance included in the codification of the SAB Series

Under proposed SEC rules, some investment grade debt issuers would no longer qualify for shelf offerings

Holland & Knight LLP
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USA
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February 28 2011

On February 9, 2011, the SEC proposed rules in response to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") that would remove references to credit ratings in rules and forms promulgated under the Securities Act and the Exchange Act

SEC Division of Corporation Finance issues new CDIs on say on pay and golden parachute compensation

Holland & Knight LLP
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USA
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February 28 2011

On February 11, 2011, the SEC's Division of Corporation Finance issued new Compliance and Disclosure Interpretations (CDIs) with respect to shareholder approval of executive compensation and to golden parachute compensation

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