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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


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 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 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


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 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


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