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Results: 1-10 of 53

ISS releases 20 FAQs on 2012 compensation guidelines
  • Holland & Knight LLP
  • USA
  • February 7 2012

On January 25, 2012, Institutional Shareholder Services (ISS) released 20 frequently asked questions on its 2012 compensation guidelines


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


NASDAQ proposes to reduce initial listing bid price requirement
  • Holland & Knight LLP
  • USA
  • February 7 2012

On January 13, 2012, The NASDAQ Stock Market LLC filed a proposed rule change to adopt an alternative to its $4 initial listing bid price requirement for the NASDAQ Capital Market


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


NYSE deems group of governance proposals to be "non-routine"
  • Holland & Knight LLP
  • USA
  • February 7 2012

On January 25, 2012, the NYSE released Informational Memo 12-4 which announced revisions to the applicability of Rule 452 to certain types of corporate governance proxy proposals


SEC proposes rules disqualifying felons and other "bad actors" from Rule 506 offerings
  • Holland & Knight LLP
  • USA
  • June 6 2011

On May 25, 2011, to implement the requirements of Section 926 of the Dodd-Frank Act, the SEC issued proposed amendments to Rules 501 and 506 and Form D that disqualify securities offerings involving certain felons and other bad actors from reliance on the safe harbor from registration under Section 4(2) of the Securities 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


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


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