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Foreign private issuers can no longer submit filings on a confidential basis
- Holland & Knight LLP
- -
- USA
- -
- 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
- -
- 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
- -
- USA
- -
- 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
- -
- 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"
Proposed legislation to reorganize the SEC
- Holland & Knight LLP
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- USA
- -
- September 26 2011
On September 15, 2011, at a hearing titled "Fixing the Watchdog: Legislative Proposals to Improve and Enhance the Securities and Exchange Commission," the House Committee on Financial Services considered two legislative proposals that would reorganize the SEC
SEC proposes rule to prohibit conflicts of interest in certain asset-backed securities transactions
- Holland & Knight LLP
- -
- USA
- -
- September 26 2011
On September 19, 2011, the SEC voted unanimously to propose rules intended to prohibit material conflicts of interest between those who package and sell asset-backed securities (ABS), and those who invest in them
SEC considering easing restrictions on crowdfunding
- Holland & Knight LLP
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- USA
- -
- September 26 2011
"Crowdfunding," where groups of people pool money, is a new method of capital raising that is gaining interest
Current Search
- Jurisdiction - USA
- Workarea - Capital Markets
- Author - Michael E. Garcia
- Author - Nicole M. Maron
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