We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



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 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


FINRA answers frequently asked questions regarding public offerings
  • Holland & Knight LLP
  • USA
  • February 11 2013

On February 2, 2013, FINRA released answers to frequently asked questions (FAQs) regarding rules for making public offerings. The topics discussed


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


SEC approves alternative to NASDAQ $4 per share initial listing bid price requirement
  • Holland & Knight LLP
  • USA
  • May 22 2012

On April 18, 2012, the SEC approved on an accelerated basis a proposed rule change by NASDAQ to adopt an alternative to the $4 minimum bid price initial listing requirement for the NASDAQ Capital Market of either $2 or $3, if certain other listing requirements are met


Federal Court keeps FHFA's mortgage-backed securities case against UBS alive
  • Holland & Knight LLP
  • USA
  • May 22 2012

On May 4, 2012, the United States District Court for the Southern District of New York rejected UBS Americas, Inc.'s motion to dismiss federal securities claims brought against it by the Federal Housing Finance Agency


Division of Corporation Finance issues guidance on disclosures of smaller financial institutions
  • Holland & Knight LLP
  • USA
  • May 22 2012

On April 20, 2012, the SEC's Division of Corporation Finance issued staff observations to provide guidance to smaller financial institutions


Division of Corporation Finance updates its confidential submission process for registration statements
  • Holland & Knight LLP
  • USA
  • May 22 2012

On May 4, 2012, the SEC Division of Corporation Finance issued an update to its confidential submission process for Emerging Growth Companies and certain foreign private issuers under the Jumpstart Our Business Startups Act


SEC issues 24 more JOBS Act FAQs
  • Holland & Knight LLP
  • USA
  • May 22 2012

On May 3, 2012, the SEC Division of Corporation Finance issued Frequently Asked Questions (FAQs) 18-41 related to the JOBS Act on EGCs and scaled disclosure


Delaware Court of Chancery upholds confidentiality agreements and temporarily enjoins hostile bid
  • Holland & Knight LLP
  • USA
  • May 22 2012

In a recent case, the Delaware Court of Chancery upheld a pair of confidentiality agreements and temporarily enjoined an acquiror from prosecuting a proxy contest and proceeding with a hostile bid for its industry rival