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SEC charges corporate attorney and Wall Street trader in $32 million insider trading ring

Holland & Knight LLP
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USA
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May 2 2011

On April 6, 2011, the SEC charged a corporate attorney and a Wall Street trader with insider trading in advance of at least 11 merger and acquisition announcements between April 2006 and March 2011 involving clients of the law firm where the attorney worked

Negative "say-on-pay" advisory votes continue; derivative suits filed for other companies that received "negative" votes

Holland & Knight LLP
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USA
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May 2 2011

Three additional companies have failed to obtain majority support in their say-on-pay votes: Umpqua Holdings Corporation, Stanley Black & Decker, Inc. and Navigant Consulting

SEC releases study on Section 404(b) as required by Dodd-Frank

Holland & Knight LLP
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USA
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May 2 2011

The SEC released a study regarding compliance with Section 404(b) of the Sarbanes-Oxley Act of 2002, as required by Dodd-Frank

SEC seeks public comment on effective investor education programs

Holland & Knight LLP
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USA
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May 2 2011

On April 19, 2011, the SEC published on its website a request for public comment on the effectiveness of existing investor education efforts as part of a review mandated by Dodd-Frank

XBRL not required for foreign private issuers that use IFRS until SEC specifies taxonomy

Holland & Knight LLP
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USA
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May 2 2011

On April 8, 2011, the staff of the Division of Corporation Finance and the Office of the Chief Accountant at the SEC issued a no-action letter stating that foreign private issuers that prepare their financial statements in accordance with International Financial Reporting Standards (IFRS) are not required to submit eXtensible Business Reporting Language (XBRL) to the SEC and post XBRL on their corporate websites, if any, until the SEC specifies on its website a taxonomy for use by such foreign private issuers in preparing their XBRL

SEC proposes listing standards for compensation committees

Holland & Knight LLP
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USA
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April 11 2011

On March 30, 2011, the SEC proposed rules to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"

SEC announces filing of proposal to address extraordinary market volatility

Holland & Knight LLP
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USA
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April 11 2011

On April 5, 2011, the SEC announced that national securities exchanges and FINRA filed a proposal to establish a new "limit up-limit down" mechanism that would prevent trades in listed equity securities from occurring outside of a specified price band, which would be set at a percentage level above and below the average price of the security over the immediately preceding five-minute period

SEC will continue to allow defendants to settle without admitting or denying allegations

Holland & Knight LLP
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USA
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April 11 2011

The SEC routinely enters into settlement agreements in which defendants agree to sanctions without admitting or denying the SEC's allegations against them

Impact of possible government shutdown on SEC

Holland & Knight LLP
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USA
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April 11 2011

The SEC issued a statement on April 7, 2011, explaining that in the event that the federal government shuts down, the SEC will have only an extremely limited number of staff members available to respond to emergency situations involving the safety of human life or the protection of property, including law enforcement

SEC Commissioner Aguilar gives speech on board diversity

Holland & Knight LLP
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USA
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April 11 2011

In his speech titled "Board Diversity: Why It Matters and How to Improve It," SEC Commissioner Luis A. Aguilar indicated there could be improvement in the disclosure provided by companies regarding board diversity, as newly required under the changes to Item 407 of Regulation S-K in late 2009

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