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Results: 1-10 of 187

SEC approves final rules for pay ratio disclosure
  • Holland & Knight LLP
  • USA
  • August 26 2015

SEC Commissioners voted to approve the final "pay ratio" disclosure rules intended to help shareholders evaluate executive compensation practices


SEC division of enforcement provides guidance on forum selection
  • Holland & Knight LLP
  • USA
  • June 5 2015

The SEC generally can bring enforcement actions in either of two forums - a civil action in federal District Court or an SEC administrative


SEC proposes to modernize reportingdisclosure by investment companiesadvisor
  • Holland & Knight LLP
  • USA
  • June 5 2015

On May 20, 2015 the SEC proposed rules, forms and amendments to modernize the reporting and disclosure of information by registered investment


SEC proposes rules for pay ratio disclosure
  • Holland & Knight LLP
  • USA
  • October 4 2013

At an open meeting on September 18, 2013, the Securities and Exchange Commission (SEC) approved for public comment proposed "pay ratio" disclosure


SEC lifts ban on general solicitation and advertising in private placements
  • Holland & Knight LLP
  • USA
  • July 18 2013

Until Congress passed the Jumpstart Our Business Startups Act (JOBS Act) in April, 2012, those seeking to raise capital through the sale of


NASDAQ withdraws rule proposal that would have required listed companies to have an internal audit function
  • Holland & Knight LLP
  • USA
  • 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


Division of investment management issues guidance on filing requirements of communications made in social media
  • Holland & Knight LLP
  • USA
  • April 15 2013

On March 15, 2013, the SEC's Division of Investment Management (the "division") issued guidance on the filing requirements for electronic


SEC issues guidance on the use of social media to disclose company information
  • Holland & Knight LLP
  • USA
  • April 15 2013

On April 2, 2013, the SEC provided guidance on the use of social media to disclose company information in a Report of Investigation under Section


SEC gets five years to seek civil penalties for fraud
  • Holland & Knight LLP
  • USA
  • March 18 2013

On February 27, 2013, the U.S. Supreme Court decided that if the SEC wants to bring civil penalties against an investment adviser for fraud, there is


SEC announces 2013 examination priorities
  • Holland & Knight LLP
  • USA
  • March 4 2013

On February 21, 2013, the National Examination Program in the SEC's Office of Compliance Inspections and Examinations released its examination