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Foreign private issuers can no longer submit filings on a confidential basis

Holland & Knight LLP
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USA
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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

SEC settles Regulation FD violations regarding trust preferred redemption

Holland & Knight LLP
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USA
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December 12 2011

On November 22, 2011, the SEC announced a settlement regarding Regulation FD violation allegations

SEC staff to release filing review correspondence earlier

Holland & Knight LLP
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USA
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December 12 2011

On December 1, 2011, the SEC announced that, starting January 1, 2012, comment letters and response letters relating to disclosure filings reviewed by the Divisions of Corporation Finance and Investment Management will be released by the staff of the SEC "no earlier than 20 business days" following the completion of a filing review

Southern District of New York dismisses Madoff suit by foreign investors under SLUSA

Holland & Knight LLP
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USA
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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"

Changes to form 10-Q and 10-K: mine safety disclosures

Holland & Knight LLP
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USA
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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

FINRA ordered by SEC to improve internal compliance policies and procedures

Holland & Knight LLP
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USA
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November 7 2011

On October 27, 2001, the SEC ordered FINRA to obtain, within 30 days, the services of an independent consultant that will conduct a one-time comprehensive review of FINRA's policies and procedures and training relating to document integrity

NASDAQ proposes to reduce initial listing bid price requirement

Holland & Knight LLP
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USA
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February 7 2012

On January 13, 2012, The NASDAQ Stock Market LLC filed a proposed rule change to adopt an alternative to its $4 initial listing bid price requirement for the NASDAQ Capital Market

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

ISS releases 20 FAQs on 2012 compensation guidelines

Holland & Knight LLP
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USA
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February 7 2012

On January 25, 2012, Institutional Shareholder Services (ISS) released 20 frequently asked questions on its 2012 compensation guidelines

ISS publishes draft proxy voting guidelines

Holland & Knight LLP
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USA
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November 7 2011

On October 18, 2011, Institutional Shareholder Services, Inc. (ISS) published for comment its proposed 2012 updates to its proxy voting guidelines