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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

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

  • Holland & Knight LLP
  • -
  • USA
  • -
  • 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

Division of Corporation Finance issues guidance on disclosures of smaller financial institutions

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

On April 20, 2012, the SEC's Division of Corporation Finance issued staff observations to provide guidance to smaller financial institutions

Court dismisses securities claims brought by investors purchasing shares of a foreign issuer on a foreign exchange

  • Holland & Knight LLP
  • -
  • USA
  • -
  • January 24 2011

The Southern District of New York dismissed class action securities claims, alleging violations under Section10(b) of the Exchange Act and Sections 11 and 12 of the Securities Act, brought by U.S. investors who purchased shares of a foreign issuer on a foreign exchange

Corporate governance and executive compensation provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act

  • Holland & Knight LLP
  • -
  • USA
  • -
  • August 3 2010

On July 21, 2010, the President signed into law the "Dodd-Frank Wall Street Reform and Consumer Protection Act" ("Dodd-Frank"