We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 13

SEC proposes rules for pay ratio disclosure
  • Holland & Knight LLP
  • USA
  • October 4 2013

At an open meeting on September 18, 2013, the Securities and Exchange Commission (SEC) approved for public comment proposed "pay ratio" disclosure


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


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


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


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


FINRA ordered by SEC to improve internal compliance policies and procedures
  • Holland & Knight LLP
  • USA
  • November 7 2011

On October 27, 2001, the SEC ordered FINRA to obtain, within 30 days, the services of an independent consultant that will conduct a one-time comprehensive review of FINRA's policies and procedures and training relating to document integrity


ISS publishes draft proxy voting guidelines
  • Holland & Knight LLP
  • USA
  • November 7 2011

On October 18, 2011, Institutional Shareholder Services, Inc. (ISS) published for comment its proposed 2012 updates to its proxy voting guidelines


Foreign private issuers can no longer submit filings on a confidential basis
  • Holland & Knight LLP
  • USA
  • December 12 2011

On December 8, 2011, the Division of Corporation Finance announced that, effective immediately, the policies controlling the filings of foreign private issuers and governments would be amended


SEC settles Regulation FD violations regarding trust preferred redemption
  • Holland & Knight LLP
  • USA
  • December 12 2011

On November 22, 2011, the SEC announced a settlement regarding Regulation FD violation allegations