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You are here: SEC & Securities Law Rules, Regulation & Guidance Holland & Knight: Securities & Financial News

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HollandKnightLogoSecurities & Financial News

Holland & Knight
January 9, 2013
7 pages

In this issue:

  • ISS Issues 26 FAQs on 2013 Peer Group Selection
  • ISS Issues Two Sets of FAQs: 102 FAQs on Compensation Policies and 77 FAQs on Non-Compensation-Related Questions
  • 2013 U.S. Proxy Voting Policies and Procedures FAQ (Excluding Compensation-Related Questions)
  • SEC's New Position on Voting Buttons Necessitates Changes to Online and Telephone Proxy Solicitation
  • FINRA Releases Guidance on Notice Filings for Private Placements
  • Company's Forward-Looking Statements Protected by the PSLRA's Safe Harbor

SEC Rules, Regulation & Guidance

Lowenstein Sandler: Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

May 17, 2013 SEC & CFTC Adopt Identity Theft Rules

Clifford Chance: SEC Proposes U.S. Regulatory Regime for Cross-Border Securities-Based Swap Activities

May 17, 2013 SEC Proposes Rules for Cross-Border Security-Based Swap Activities

Fried Frank: SEC Proposes Rules for Cross-Border Security-Based Swap Transactions

May 16, 2013 SEC Proposes Rules for Cross-Border Security-Based Swap Activities