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Results: 1-10 of 53

House Financial Services Subcommittee passes five bills to ease the regulatory burden on small businesses
  • Holland & Knight LLP
  • USA
  • November 7 2011

On October 5, 2011, the House Financial Services Capital Markets and Government Sponsored Enterprises Subcommittee passed five bills to ease the regulatory burden on small businesses and emerging growth companies


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


SEC issues final rules on beneficial ownership reporting requirements for security-based swaps
  • Holland & Knight LLP
  • USA
  • June 20 2011

To preserve the application of the SEC's existing beneficial ownership rules to persons who purchase or sell security-based swaps, on June 8, 2011, the SEC readopted without change the relevant portions of Rules 13d-3 and 16a-1


SEC Chairman Mary Schapiro discusses say-on-pay provisions and the timing for other Dodd-Frank rulemaking
  • Holland & Knight LLP
  • USA
  • November 21 2011

In a speech given on November 2, 2011, SEC Chairman Mary L. Schapiro discussed the regulations put in place through Dodd-Frank, specifically the say-on-pay provisions


Cornerstone Research releases report on securities class action settlements in 2011
  • Holland & Knight LLP
  • USA
  • March 26 2012

Cornerstone Research recently released its annual report on securities class action settlements for 2011


Two say-on-pay related derivative suits recently dismissed
  • Holland & Knight LLP
  • USA
  • March 26 2012

Recently, two say-on-pay related derivative suits were dismissed by courts in California and Maryland


Delaware Chancery Court addresses indemnification and advancement of legal expenses
  • Holland & Knight LLP
  • USA
  • March 26 2012

A recent opinion from the Delaware Chancery Court addresses directors' and officers' indemnification and advancement rights


SEC issues alert on strengthening compliance practices for underwriting muni bonds
  • Holland & Knight LLP
  • USA
  • March 26 2012

On March 19, 2012, the SEC issued a risk alert on compliance measures to assist broker-dealers in fulfilling their due diligence duties when underwriting offerings of municipal securities


House of Rrepresentatives passes the JOBS Act; Senate passes same with changes; Act heads back to the House
  • Holland & Knight LLP
  • USA
  • March 26 2012

On March 8, 2012, the House of Representatives passed H.R. 3606, the Jumpstart Our Business Startups Act (the "JOBS Act" or the "Act"


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