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NASDAQ withdraws rule proposal that would have required listed companies to have an internal audit function

Holland & Knight LLP
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USA
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June 3 2013

As discussed in our March 18, 2013 issue of Securities and Financial News to Note, on February 20, 2013, the NASDAQ Stock Market (NASDAQ) filed with

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

FINRA amends fixed price offering rules

Holland & Knight LLP
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USA
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August 23 2010

On July 21, 2010, the SEC approved a proposal by FINRA to amend the fixed price offering rules, commonly known as the Papilsky rules because of the court decision with which they are commonly associated, and to replace them with Rule 5141

SEC extends comment period for conflict minerals, mine safety and resource extraction disclosure

Holland & Knight LLP
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USA
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February 28 2011

The SEC extended the period for submitting comments on the following proposed rules:Conflict MineralsMine SafetyResource Extraction DisclosureThe SEC has proposed rules to implement the sections of the Dodd-Frank Act that address conflict minerals, mine safety and resource extraction disclosure

SEC issues interpretive guidance on liquidity and capital resources disclosures and proposes rules addressing short-term borrowings disclosure

Holland & Knight LLP
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USA
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January 7 2011

On September 17, 2010, the SEC issued interpretive guidance on liquidity and capital resources disclosures and proposed rules regarding short-term borrowing disclosures in Management's Discussion and Analysis (the "MD&A"

PCAOB issues FAQs on audit firm annual reports and makes the reports publicly available

Holland & Knight LLP
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USA
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July 12 2010

On June 18, 2010, the PCAOB issued Staff Questions and Answers regarding the requirements to file with the PCAOB Annual Reports on Form 2

SEC staff issued interpretations on change of accountants

Holland & Knight LLP
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USA
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January 24 2011

On January 14, 2011, the Division of Corporation Finance issued new CDIs regarding change of accountants

FINRA provides same-day clearance process for shelf filings

Holland & Knight LLP
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USA
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May 17 2010

Effective March 1, 2010, FINRA began providing same-day clearance for shelf takedowns filed through FINRA's COBRADesk

The JOBS Act creates new opportunities for middle-market companies to access the U.S. public capital markets and to raise private capital

Holland & Knight LLP
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USA
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April 17 2012

President Obama signed into law on April 5, 2012, the Jumpstart Our Business Startups Act (the “JOBS Act”

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

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