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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


Reverse merger companies: SEC issues investor bulletin addressing risks of investment and NASDAQ issues proposed rule change for listing requirements
  • Holland & Knight LLP
  • USA
  • June 20 2011

On June 9, 2011, the SEC issued an Investor Bulletin detailing the risks of investing in companies that "go public" by utilizing a reverse merger


ISS issues two sets of FAQS: 102 FAQS on compensation policies and 77 FAQS on non-compensation-related questions
  • Holland & Knight LLP
  • USA
  • January 9 2013

On December 20, 2012, ISS released two lengthy sets of FAQs on 2013 compensation and non-compensation related policies. The following are issues addressed


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


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 to raise dollar thresholds for charging performance fees by investment advisers
  • Holland & Knight LLP
  • USA
  • June 6 2011

The SEC has proposed rules and issued a notice that it intends to raise the qualification requirements of persons who can pay performance based compensation to registered investment advisers


SEC provides guidance on road show internet broadcasts by companies that are not registered broker-dealers
  • Holland & Knight LLP
  • USA
  • June 6 2011

On May 6, 2011, the staff of the Division of Trading and Markets of the SEC issued a no-action letter stating that it would not recommend enforcement action to the SEC against Roadshow Broadcast, LLC, or its officers, directors and employees under Section 15(a) of the Exchange Act if Roadshow Broadcast, for a flat service fee, transmits over the Internet, without registering as a broker or dealer, road shows that relate to public offerings of securities


Florida court rejects the SEC's single-factor transaction-based broker test for finders
  • Holland & Knight LLP
  • USA
  • June 6 2011

In the "finder" friendly opinion, a Florida court rejected the SEC's single-factor, transaction-based compensation test for determining "broker" status under the Exchange Act and held that an array of non-exclusive factors should be evaluated when determining whether a finder engages in broker activity thus requiring the finder to register as a "broker" under the Exchange Act