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1
Mandatory Reporting Of Foreign Ownership Of U.S. Securities Due August 2019
The U.S. Department of the Treasury is currently collecting data from all U.S. persons1 for its five-year mandatory benchmark survey of foreign ownership of U.S. securities as of June 30, 2019.
United States
26 Jun 2019
2
FTC Announces Revised Hart-Scott-Rodino Thresholds Effective April 3, 2019
The Federal Trade Commission (FTC) has announced this year's revisions to the thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSR) ...
United States
12 Mar 2019
3
Treasury Designates Additional Maduro Officials, Provides Additional Guidance
The U.S. Department of the Treasury's (Treasury) Office of Foreign Assets Control (OFAC) has designated five officials affiliated with the regime of Nicolas Maduro
United States
26 Feb 2019
4
The Unique Aspects Of CMBS Loans: A Primer For Borrower's Counsel
Commercial mortgage-backed securities ("CMBS") loans and balance-sheet loans are not created equal. While there are many similarities between the two types of loans, the differences are material
United States
17 Jan 2019
5
SEC Enforcement Activity Stabilizes
On Nov. 2, 2018, the Securities and Exchange Commission (SEC) released its fiscal year 2018 enforcement statistics.
United States
15 Nov 2018
6
Petrobras Agrees To Pay More Than $1.8 Billion For Facilitating FCPA Violations
Four years ago, Brazilian authorities began Operation Car Wash, a wide-ranging and still ongoing corruption and money laundering investigation that has spanned 11 countries.
United States
19 Oct 2018
7
Offering Exemptions Available To Companies Issuing ICOs
Issuing an initial coin offering (ICO) is a new and innovative way for companies to infuse capital into their enterprise. However, several regulatory agencies have increased their scrutiny of ICOs ...
United States
16 May 2018
8
Understanding The Regulatory Concerns Of Cryptocurrency Exchange Registration
Coinbase, one of the largest cryptocurrency exchanges, recently approached the U.S. Securities and Exchange Commission (SEC) about possible licensing as a broker-dealer.
United States
2 May 2018
9
Dodd-Frank Protects Only Employees Who Blow Whistle To The SEC
To whom must an employee report suspected misconduct to qualify as a "whistleblower" under the Dodd-Frank Act?
United States
28 Feb 2018
10
U.S. Securities And Exchange Commission Updates Cybersecurity Disclosure Guidance
The U.S. Securities and Exchange Commission (SEC) released, on Feb. 21, 2018, updated guidance regarding public company cybersecurity disclosures.
United States
27 Feb 2018
11
FTC Announces Revised Hart-Scott-Rodino Thresholds Effective Feb. 28, 2018
The Federal Trade Commission (FTC) has announced this year's revisions to the thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (HSR) ...
United States
1 Feb 2018
12
Knee Deep In The Big Muddy Of Director Compensation And Stockholder Ratification
The Delaware Supreme Court delivered a gift to the plaintiffs' bar with its recent opinion reversing the Court of Chancery's In Re Investors Bancorp, Inc. Stockholder Litigation decision.
United States
4 Jan 2018
13
SEC Adopts Exhibit Hyperlink Requirement
The final rules arose from the current, tedious method of locating exhibits incorporated by reference in U.S. Securities and Exchange Commission (SEC) reports and registration statements.
United States
23 Aug 2017
14
SEC Issues Guidance On Initial Coin Offerings And Digital Assets
The SEC's Report is a clear warning that ICOs offered or sold in the United States and digital assets traded in the U.S. may be subject to the federal securities laws.
United States
11 Aug 2017
15
SEC Issues New Material Event Notices Under Proposed Rule 15c2-12 Amendments
he U.S. Securities and Exchange Commission (SEC) has proposed adding two additional triggers – in new subparagraphs (15) and (16) – for the material events notice requirements under Rule 15c2-12 (the Proposed Rule).
United States
19 Apr 2017
16
Supreme Court Clarifies Insider Trading
The U.S. Supreme Court's unanimous Dec. 6, 2016, decision in Salman v. United States removes an obstacle to prosecuting insider trading cases involving a tip of MNPI to a friend or relative.
United States
14 Dec 2016
17
Jury Finds Miami And Former Budget Director Guilty Of Securities Fraud
In the first federal jury trial by the SEC against a municipality or its officers, jurors found that the City of Miami, Florida and its former budget director defrauded bond investors in 2009.
United States
26 Sep 2016
18
Seventh Circuit Rejects Dudenhoeffer Applicability To Privately Held Stock
The U.S. Court of Appeals for the Seventh Circuit's Aug. 25, 2016, decision in Allen v. GreatBanc Trust Co., No. 15-3569, made it the first court in a published opinion...
United States
22 Sep 2016
19
SEC Approves Nasdaq Rule Requiring Disclosure Of Third-Party Payments To Directors
The U.S. Securities and Exchange Commission (SEC) has approved a Nasdaq Stock Market rule requiring disclosure of third-party compensation to director candidates.
United States
9 Aug 2016
20
SEC Concept Release Requests Market Comment To Update Regulation S-K
The U.S. Securities and Exchange Commission (SEC) issued a 341-page concept release in April requesting market participants to comment on its proposals to update and modernize Regulation S-K.
United States
3 Jun 2016
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