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SEC staff publishes new guidance on shareholder proposals

Katten Muchin Rosenman LLP
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USA
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October 26 2012

On October 16 the Securities and Exchange Commission’s Division of Corporation Finance issued Staff Legal Bulletin No. 14G (SLB 14G) providing guidance with respect to three issues in connection with shareholder proxy proposals that arose during the 2012 proxy season

Court grants preliminary injunction in case involving general partnership interests

Katten Muchin Rosenman LLP
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USA
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October 12 2012

A California district court granted the Securities and Exchange Commission’s motion for a preliminary injunction against defendants who were selling general partnership interests in parcels of land

SEC targets CEO’s lockout of duly elected board members

Katten Muchin Rosenman LLP
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USA
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September 28 2012

A recent Securities and Exchange Commission enforcement action filed in the US District Court for the Middle District of Florida aims to hold a director liable for a host of false statements made while he strong-armed the remainder of the board and improperly claimed the company as his own

PCAOB adopts new auditing standard relating to communications between auditors and audit committees, subject to SEC approval

Katten Muchin Rosenman LLP
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USA
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September 14 2012

On September 10, the Securities and Exchange Commission posted for comment Auditing Standard No. 16, “Communications with Audit Committees,” adopted by the Public Company Accounting Oversight Board (PCAOB) on August 15

District Court rejects claim of presumptive lead plaintiff's inadequacy in securities class action

Katten Muchin Rosenman LLP
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USA
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September 14 2012

Stockholder plaintiffs brought a purported class action against defendant China-Biotics, Inc. and certain of its officers and directors on behalf of all purchasers of China-Biotic shares during the period from February 9, 2011 and July 1, 2011

New general solicitation and advertising rules to be delayed

Katten Muchin Rosenman LLP
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USA
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June 29 2012

In testimony before the Subcommittee on TARP, Financial Services and Bailouts of Public and Private Programs Oversight and Government Reform Committee of the U.S. House of Representatives, Mary L. Shapiro, Chairman of the Securities and Exchange Commission, provided testimony with respect to the rule-making required of the SEC under the Jumpstart Our Business Startups Act (JOBS Act

SEC adopts final rules requiring listing standards for compensation committees and advisers

Katten Muchin Rosenman LLP
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USA
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June 21 2012

On June 20, the Securities and Exchange Commission adopted a final rule that requires national securities exchanges to adopt listing standards regarding the independence of compensation committees and compensation advisers of public companies

SEC implements secure e-mail system for confidential submissions

Katten Muchin Rosenman LLP
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USA
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May 18 2012

Effective May 14, the Division of Corporation Finance of the Securities and Exchange Commission has implemented a secure e-mail system that allows it to receive confidential submissions from “emerging growth companies” (EGCs) under the Jumpstart Our Business Startups Act (JOBS Act), as well as from certain foreign private issuers under the Division of Corporation Finance’s pre-existing policy that permits such issuers to submit draft registration statements to the SEC for non-public review

District court rejects argument that Investment Advisers Act cannot be applied extraterritorially

Katten Muchin Rosenman LLP
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USA
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May 18 2012

The Securities and Exchange Commission brought a complaint against the former Chief Financial Officer of a now defunct investment adviser seeking enforcement of the Investment Advisers Act of 1940 (IAA

SEC staff issues observations on MD&A and accounting policy disclosures of smaller financial institutions

Katten Muchin Rosenman LLP
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USA
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April 27 2012

On April 20, the Division of Corporation Finance of the Securities and Exchange Commission issued guidance with respect to certain matters relating to management's discussion and analysis and certain accounting policies of smaller financial institutions

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