On March 21, 2022, the Securities and Exchange Commission (“SEC”) unveiled its long-anticipated proposed rules on climate disclosures, entitled “The Enhancement and Standardization of Climate-Related Disclosures for...more
3/31/2022
/ Biden Administration ,
Climate Change ,
Corporate Governance ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
GHG Auction ,
Proposed Rules ,
PSLRA ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Task Force on Climate-related Financial Disclosures (TCFD)
Following closely on its proposal for substantial new cybersecurity requirements for investment advisers and registered investment companies, the Securities and Exchange Commission (SEC) unveiled a new slate of proposed...more
As public companies embark on the year-end reporting process, they will need to consider, and in some cases take steps to address, a number of significant developments and issues. As in past years, Mintz has prepared a...more
1/19/2022
/ Annual Meeting ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Cybersecurity ,
Data Privacy ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Executive Compensation ,
Fiscal Year ,
Nasdaq ,
New Legislation ,
NYSE ,
Popular ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Shareholder Meetings
As our clients and friends know, each year Mintz provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange Commission...more
1/26/2021
/ Annual Reports ,
Corporate Governance ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
Form 10-K ,
MD&A Statements ,
Proxy Statements ,
Publicly-Traded Companies ,
Regulation S-K ,
Securities and Exchange Commission (SEC) ,
Shareholder Meetings ,
Virtual Meetings
The SEC has voted to amend the definition of the term “smaller reporting company” as used in its rules and regulations. Under the amended definition, which takes effect on September 10, 2018, SRCs are companies that...more
8/17/2018
/ Amended Regulation ,
Disclosure Requirements ,
Financial Statements ,
Regulation S-K ,
Regulation S-X ,
Regulatory Requirements ,
Sarbanes-Oxley ,
Section 404 ,
Securities and Exchange Commission (SEC) ,
Smaller Reporting Companies ,
Threshold Requirements
As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more
2/1/2018
/ Corporate Governance ,
Cybersecurity ,
Disclosure Requirements ,
Dodd-Frank ,
Executive Compensation ,
Foreign Workers ,
Form 10-K ,
Form 8-K ,
Institutional Shareholder Services (ISS) ,
Non-GAAP Financial Measures ,
Pay Ratio ,
Popular ,
Proxy Statements ,
Say-on-Pay ,
Section 162(m) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholder Meetings ,
Shareholders ,
Tax Cuts and Jobs Act ,
Tax Deductions
The U.S. IPO market began 2017 with a solid start, with 25 IPOs raising nearly $10 billion in the first quarter and another 31 IPOs in the second quarter through May 15. We have a number of U.S. and non-U.S. clients moving...more
As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more
1/24/2017
/ Director Compensation ,
Dodd-Frank ,
Filing Deadlines ,
Fiscal Year ,
Form 8-K ,
Golden Leash Arrangements ,
Institutional Shareholder Services (ISS) ,
Nasdaq ,
Non-GAAP Financial Measures ,
Pay Ratio ,
Proxy Access Rule ,
Proxy Statements ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Shareholder Meetings ,
Shareholders
Letter from the Editors -
Dear Readers,
The world of raising capital for emerging companies has experienced a revolution. Prior to the enactment of the JOBS Act in 2012, raising capital for private companies was...more
9/29/2016
/ Capital Raising ,
Crowdfunding ,
Crowdsourcing ,
Data Breach ,
Data Security ,
Dwolla ,
E-2 ,
Entrepreneurs ,
FinTech ,
Good Faith ,
H-1B ,
Initial Public Offering (IPO) ,
Innovation ,
JOBS Act ,
Parole ,
Privacy Laws ,
Private Placements ,
Public Offerings ,
Rule 506 ,
Visas
As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more
2/5/2016
/ Annual Meeting ,
Conflict Mineral Rules ,
Cybersecurity ,
Disclosure-Based Settlements ,
Executive Compensation ,
Forum Selection ,
Institutional Shareholder Services (ISS) ,
Pay Ratio ,
Popular ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Shareholder Activism ,
Shareholders ,
Whistleblowers
Megan Gates explains the how rules implemented by the SEC and national securities exchanges make raising capital particularly challenging for small-cap companies....more
When a significant stockholder in a publicly-held company is considering plans to take the company private, how soon must the stockholder disclose those plans in a Schedule 13D filing?...more
On Monday, the Securities and Exchange Commission (the “SEC”) proposed rules requiring disclosure of companies’ policies with respect to hedging transactions, in order to implement Section 955 of the Dodd-Frank Wall Street...more
As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more
2/5/2015
The Massachusetts Securities Division has recently joined a number of other states in adopting a “crowdfunding” exemption from securities registration requirements for certain offerings made within the Commonwealth, with the...more
1/27/2015
/ Capitalization ,
Crowdfunding ,
Entrepreneurs ,
Equity Financing ,
Funding ,
JOBS Act ,
Regulation D ,
Securities ,
Securities and Exchange Commission (SEC) ,
Small Offering Exemptions ,
Startups
The SEC recently proposed rule amendments as part of its implementation of Title V and Title VI of the JOBS Act. These proposed amendments reflect the increased registration, termination of registration and suspension of...more
…….Shareholder Proposals on Cybersecurity and Privacy: Another Country Heard From
As the holiday season slips into the rear view mirror, another season looms large for public companies —- proxy season. Adding to the...more
ISS (Institutional Shareholder Services) has released its annual 2015 Proxy Voting Guidelines Updates. These guidelines apply to annual meetings to be held on or after February 1, 2015. Many of our clients have investors who...more
12/2/2014
/ Annual Meeting ,
Bylaws ,
Corporate Governance ,
Disclosure Requirements ,
Employer Liability Issues ,
Fee-Shifting ,
Greenhouse Gas Emissions ,
Independent Boards ,
Political Contributions ,
Proxy Season ,
Proxy Voting Guidelines
As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more
A recent federal appeals court decision addressing pleading standards for shareholder suits under Section 11 of the Securities Act of 1933, as amended, highlights the potential dangers of giving broad assurances of legal...more
As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more