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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


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


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 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


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


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


SEC Division of Corporation Finance to consider revisions to foreign private issuer reporting system
  • Holland & Knight LLP
  • USA
  • March 26 2012

On March 8, 2012, Meredith Cross, director at the SEC's Division of Corporation Finance, delivered a speech at the Annual Institute on Securities Regulation in Europe, in which she addressed, among other topics, the SEC's analysis of possible future changes to foreign private issuer reporting


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