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Results: 1-10 of 53

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


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


Changes to form 10-Q and 10-K: mine safety disclosures
  • Holland & Knight LLP
  • USA
  • February 7 2012

On January 27, 2012, changes to Forms 8-K, 10-Q, 10-K, 20-F and 40-F under the Securities Exchange Act of 1934 went into effect which apply to all companies, even if there is no mine safety disclosure required


Federal court holds that stock trades pursuant to 10b5-1 plans are evidence of scienter
  • Holland & Knight LLP
  • USA
  • February 7 2012

On November 23, 2011, the U.S. District Court for the Southern District of California denied a motion for summary judgment made by defendants in a securities fraud class action based, in part, on the grounds that the defendants' 10b5-1 trading plans were evidence of scienter


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


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


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 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 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


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