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Article

Holland & Knight LLP | USA | 11 Apr 2011

SEC announces filing of proposal to address extraordinary market volatility

On April 5, 2011, the SEC announced that national securities exchanges and FINRA filed a proposal to establish a new "limit up-limit down" mechanism that would prevent trades in listed equity securities from occurring outside of a specified price band, which would be set at a percentage level above and below the average price of the security over the immediately preceding five-minute period.

Article

Holland & Knight LLP | USA | 11 Apr 2011

SEC proposes listing standards for compensation committees

On March 30, 2011, the SEC proposed rules to implement Section 952 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank").

Article

Holland & Knight LLP | USA | 11 Apr 2011

Court rejects shareholder proposal due to insufficient proof of ownership

Rather than attempt to exclude a shareholder proposal through the normal SEC channels, a company filed a lawsuit in the Federal District Court for the Southern District of Texas seeking a declaratory judgment that would allow the company to exclude the shareholder proposal submitted by John Chevedden due to his alleged lack of eligibility.

Article

Holland & Knight LLP | USA | 28 Mar 2011

Sec proposes to readopt Rules 13d-3 and 16a-1 with respect to applicability to security-based swaps

To preserve the application of the SEC's existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934, on March 17, 2011, the SEC proposed to readopt without change the relevant portions of Rules 13d-3 and 16a-1.

Article

Holland & Knight LLP | USA | 14 Mar 2011

SEC Division of Corporation Finance issues new CDIs on a variety of topics

On March 4, 2011, the SEC's Division of Corporation Finance issued new Compliance and Disclosure Interpretations (CDIs) covering a variety of matters, including one on the CD&A, two on Rule 144, two on free writing prospectuses and two on director disclosures, as well as two others.

Article

Holland & Knight LLP | USA | 28 Feb 2011

Under proposed SEC rules, some investment grade debt issuers would no longer qualify for shelf offerings

On February 9, 2011, the SEC proposed rules in response to the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act") that would remove references to credit ratings in rules and forms promulgated under the Securities Act and the Exchange Act.

Article

Holland & Knight LLP | USA | 7 Feb 2011

Four of corp fin’s Dodd-Frank rulemakings delayed

The SEC has revised its Dodd-Frank Act rulemaking timeline, pushing back its estimate of when it will issue proposed rules.

Article

Holland & Knight LLP | USA | 24 Jan 2011

SEC to act on say on pay proposals and propose change to accredited investor definition

The SEC will hold an open meeting on January 25, 2011 to consider whether to adopt the proposed rules regarding shareholder advisory votes to approve: (1) the compensation of executives, or say on pay votes; (2) the frequency of shareholder say on pay votes; and (3) golden parachute arrangements.

Article

Holland & Knight LLP | USA | 24 Jan 2011

Court dismisses securities claims brought by investors purchasing shares of a foreign issuer on a foreign exchange

The Southern District of New York dismissed class action securities claims, alleging violations under Section10(b) of the Exchange Act and Sections 11 and 12 of the Securities Act, brought by U.S. investors who purchased shares of a foreign issuer on a foreign exchange.

Article

Holland & Knight LLP | USA | 24 Jan 2011

SEC adopts asset-backed rules

On January 20, 2011, the SEC adopted final rules implementing Section 943 of Dodd-Frank, which requires the SEC to prescribe regulations on the use of representations and warranties in the market for asset-backed securities (ABS).

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