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 35

SEC Concept Release Requests Market Comment to Update Regulation S-K
  • Holland & Knight LLP
  • USA
  • June 2 2016

The U.S. Securities and Exchange Commission (SEC) issued a 341-page Concept Release in April requesting market participants to comment on its


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.


SEC approves final rules regarding extension of investment adviser registration deadline
  • Holland & Knight LLP
  • USA
  • July 11 2011

On June 22, 2011, making formal what had been widely expected, the SEC extended to March 30, 2012, the deadline for previously exempt investment advisers, now required under the Dodd-Frank Act to register with the SEC.


Reverse merger companies: SEC issues investor bulletin addressing risks of investment and NASDAQ issues proposed rule change for listing requirements
  • Holland & Knight LLP
  • USA
  • June 20 2011

On June 9, 2011, the SEC issued an Investor Bulletin detailing the risks of investing in companies that "go public" by utilizing a reverse merger.


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.


Florida court rejects the SEC's single-factor transaction-based broker test for finders
  • Holland & Knight LLP
  • USA
  • June 6 2011

In the "finder" friendly opinion, a Florida court rejected the SEC's single-factor, transaction-based compensation test for determining "broker" status under the Exchange Act and held that an array of non-exclusive factors should be evaluated when determining whether a finder engages in broker activity thus requiring the finder to register as a "broker" under the Exchange Act.


SEC seeks public comment on effective investor education programs
  • Holland & Knight LLP
  • USA
  • May 2 2011

On April 19, 2011, the SEC published on its website a request for public comment on the effectiveness of existing investor education efforts as part of a review mandated by Dodd-Frank.


SEC releases study on Section 404(b) as required by Dodd-Frank
  • Holland & Knight LLP
  • USA
  • May 2 2011

The SEC released a study regarding compliance with Section 404(b) of the Sarbanes-Oxley Act of 2002, as required by Dodd-Frank.


SEC Commissioner Aguilar gives speech on board diversity
  • Holland & Knight LLP
  • USA
  • April 11 2011

In his speech titled "Board Diversity: Why It Matters and How to Improve It," SEC Commissioner Luis A. Aguilar indicated there could be improvement in the disclosure provided by companies regarding board diversity, as newly required under the changes to Item 407 of Regulation S-K in late 2009.


U.S. Supreme Court issues pro-plaintiff securities law decision
  • Holland & Knight LLP
  • USA
  • March 28 2011

On March 22, 2011, the U.S. Supreme Court issued a unanimous decision, finding that drug companies must disclose any adverse event reports that could alter the total mix of information available to investors.