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Results: 1-10 of 442

Derivatives Update: What You Should Know As We Enter 2017
  • Greenberg Traurig LLP
  • European Union, United Kingdom, USA
  • November 21 2016

This year has been full of surprises in the Global Markets with Brexit, the Republicans’ win of the Executive Branch and


Annual Reports may be Posted on Web In Lieu of Mailing to the SEC
  • Greenberg Traurig LLP
  • USA
  • November 14 2016

On Nov. 2, 2016, the Division of Corporation Finance issued guidance permitting issuers to post their annual reports to shareholders on their


Director Fined for HSR Act Violations Arising from Failure to Report Stock Purchases
  • Greenberg Traurig LLP
  • USA
  • November 14 2016

A public company director recently entered into a settlement agreement with the Federal Trade Commission, or FTC, pursuant to which he agreed to pay


Highlights from PLI 48th Annual Institute on Securities Regulation
  • Greenberg Traurig LLP
  • USA
  • November 14 2016

The PLI 48th Annual Institute on Securities Regulation conference was held from Nov. 2-4, 2016. Below are some of the highlights from the conference:


SEC Provides Guidance on “Baby Shelf” Limitations
  • Greenberg Traurig LLP
  • USA
  • November 14 2016

On Nov. 2, 2016, the Division of Corporation Finance issued guidance regarding the use of Form S-3's "baby shelf" provisions. Under Form S-3, an


SEC Provides Guidance on Form S-8 and Fee Calculations
  • Greenberg Traurig LLP
  • USA
  • November 14 2016

On Nov, 9, 2016, the Division of Corporation Finance issued guidance on Form S-8 and Fee Calculations: Filing fees associated with excess shares


Board Director Fined for Failure to File Under the HSR Act for Incremental Acquisitions of Stock of Multiple Issuers
  • Greenberg Traurig LLP
  • USA
  • November 3 2016

On Oct. 28, 2016, the Federal Trade Commission (FTC) announced that an investment firm founder (the Director) agreed to pay $720,000 in civil


SEC Amendments to Facilitate Intrastate Offering Rule
  • Greenberg Traurig LLP
  • USA
  • October 31 2016

On Oct. 26, 2016, the SEC adopted final rules intended to facilitate intrastate securities offerings, including amendments to existing Rule 147


SEC Proposes Amendments Limiting Use of “Withhold” Option on Proxy Cards for all Director Elections
  • Greenberg Traurig LLP
  • USA
  • October 31 2016

On Oct. 26, 2017, the SEC proposed proxy rule amendment aimed at ensuring that proxy cards specify all applicable shareholder voting options in all


SEC Continues Focus on Audit Firms As Gatekeepers
  • Greenberg Traurig LLP
  • USA
  • October 31 2016

On Oct. 18, 2016, the SEC announced an $11.8 million settlement with an auditing firm and two of its partners related to failed audits of a public