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Strategic dialogue meeting between SEC and FSA

USA, United Kingdom - October 21 2011 On October 13, 2011, SEC Chairwoman Mary L. Schapiro and senior SEC staff met with the UK Financial Services Authority's (FSA) Chief Executive, Hector Sants, and its Managing Director of the Conduct Business Unit, Martin Wheatley, as part of the continual SEC-FSA Strategic Dialogue to discuss regulatory approaches to current issues....

Michael D. "Mike" Redondo, Thomas R. Leffler, Nicole M. Maron.

Delaware court awards largest judgment in Delaware history for breach of fiduciary duty in spite of special committee's approval of insider transaction

USA - October 21 2011 More than 25 years ago, the Delaware Supreme Court established the "entire fairness" test for analyzing transactions in which a controlling stockholder stands on both sides of the deal....

Michael D. "Mike" Redondo, Thomas R. Leffler, Nicole M. Maron.

FINRA proposes Rule 5123 to require filing of private placements

USA - October 21 2011 On October 4, 2011, the Financial Industry Regulatory Association (FINRA) filed a proposal with the SEC to adopt new Rule 5123....

Michael D. "Mike" Redondo, Thomas R. Leffler, Nicole M. Maron.

SEC issues guidance on legality and tax opinions in registered offerings

USA - October 21 2011 On October 14, 2011, the staff of the Division of Corporate Finance of the SEC issued a legal bulletin which provides guidance on preparing legality and tax opinions filed in connection with registered offerings of securities....

Michael D. "Mike" Redondo, Thomas R. Leffler, Nicole M. Maron.

SEC issues staff legal bulletin on shareholder proposals

USA - October 21 2011 Proposals On October 18, 2011, the SEC Division of Corporation Finance issued Staff Legal Bulletin No. 14F ("Shareholder Proposals")....

Michael D. "Mike" Redondo, Thomas R. Leffler, Nicole M. Maron.