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19 results found

Article

Holland & Knight LLP | USA | 10 Sep 2012

SEC announces proposed rules to implement JOBS Act provisions on general solicitation and advertising in certain securities offerings

On August 29, 2012, the SEC announced proposed rules to eliminate the prohibition against general solicitation and general advertising in certain securities offerings.

Article

Holland & Knight LLP | USA | 16 Jul 2012

SEC approves rules and interpretations on key derivatives regulation terms

On July 9, 2012, the SEC took a step toward regulating the over-the-counter derivatives market by unanimously approving rules and interpretations for key definitions of certain derivative products.

Article

Holland & Knight LLP | USA | 4 Jun 2012

Delaware court re-affirms Reves test and determines promissory notes to be "securities"

On May 23, 2012, the Delaware Court of Chancery issued an opinion that analyzed whether (1) promissory notes were securities, and (2) if so, whether their issuance without preferred shareholder approval violated preferred shareholders' rights when such shareholders had consent rights over the issue of "any security."

Article

Holland & Knight LLP | USA | 4 Jun 2012

Failure to disclose a "known trend or uncertainty" may support a securities claim

Recently, the Second Circuit reversed an order of a lower court that denied leave to amend a complaint on the grounds of futility.

Article

Holland & Knight LLP | USA | 24 Feb 2012

Federal court dismisses U.S. investors' federal securities claims based on purchase of foreign corporation's stock

On February 23, 2012, the U.S. District Court for the Southern District of Texas dismissed the federal securities claims brought by a group of U.S. purchasers of a foreign company's stock on the London Stock Exchange based on the U.S. Supreme Court's decision in Morrison v. National Australia Bank Ltd., 130 S. Ct. 2869 (2010).

Article

Holland & Knight LLP | USA | 21 Oct 2011

FINRA proposes Rule 5123 to require filing of private placements

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

Article

Holland & Knight LLP | USA | 21 Oct 2011

SEC issues staff legal bulletin on shareholder proposals

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

Article

Holland & Knight LLP | USA, United Kingdom | 21 Oct 2011

Strategic dialogue meeting between SEC and FSA

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.

Article

Holland & Knight LLP | USA | 21 Oct 2011

SEC issues guidance on legality and tax opinions in registered offerings

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.

Article

Holland & Knight LLP | USA | 10 Oct 2011

SEC to publish updated market-wide circuit breaker proposals

On September 27, 2011, the SEC announced that the national securities exchanges and FINRA are filing proposals to revise existing market-wide circuit breakers that are designed to address extraordinary volatility across the securities markets.

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