Every year, Mintz provides analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange Commission and their annual shareholder...more
A number of significant regulatory, legal, market, and ESG-related developments and issues will affect how public companies approach the upcoming year-end reporting process. As in past years, Mintz has prepared an in-depth...more
12/18/2023
/ 10b5-1 Plans ,
Artificial Intelligence ,
Chief Information Security Officer (CISO) ,
Clawbacks ,
Climate Change ,
Corporate Governance ,
Cybersecurity ,
Enforcement Actions ,
Environmental Social & Governance (ESG) ,
Form 10-K ,
Form 8-K ,
Nasdaq ,
Publicly-Traded Companies ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Shareholder Meetings ,
Trading Plans ,
Year-End Planning
Public companies initiating the year-end reporting process will need to consider, and in many cases take steps to address, a number of significant developments and issues. To assist companies in this process, Mintz has...more
12/9/2022
/ Annual Meeting ,
Breach of Duty ,
Clawbacks ,
Climate Change ,
Corporate Governance ,
Cybersecurity ,
Data Protection ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Filing Deadlines ,
Insider Trading ,
Privacy Laws ,
Proxy Advisors ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Stock Markets ,
Supply Chain ,
Ukraine
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 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
Last week, the National Association of Bond Lawyers held its 13th Annual Tax and Securities Law Institute. Some of the panels included current and former employees of the SEC who spoke on several of the more notable recent...more
On January 13, 2015, the SEC’s Office of Compliance Inspections and Examinations issued its Examination Priorities for 2015. Among the various priorities, these four issues stood out...more
On November 10, 2014, the SEC announced a settlement with Eureeca Capital SPC, which is a crowdinvesting portal incorporated in the Cayman Islands. Eureeca’s website seeks to match foreign-based issuers with investors...more
On November 3, 2014, the SEC announced settlements with thirteen different registered municipal securities dealers in connection with sales of non-investment grade bonds issued by Puerto Rico in 2014.
The settlements...more
By rule, the SEC is required to issue a report on the Commission’s administrative proceedings caseload every six months. On October 29, 2014, the SEC issued its most recent report covering the six month period from April 1,...more
Can merely late filing of “routine” forms get you in trouble with the SEC? Yes, at least if it happens too often. On Wednesday the SEC announced charges and financial penalties totaling $2.6 million against 28 officers,...more
Just last week, Judge Scheindlin from the Southern District of New York precluded the SEC from seeking wide-ranging disgorgement in an order issued in the SEC v. Wyly, 10-cv-5760 (S.D.N.Y.) case....more
Just yesterday, the SEC announced its first settlement pursuant to its Municipalities Continuing Disclosure Cooperation (MCDC) Initiative. ...
Here are two observations on this settlement that could shed some light on...more
Last week we posted a summary of the Second Circuit’s decision in SEC v. Citigroup Global Markets, Inc. This week, as a follow-up, we pose the following five “yes or no” questions and provide responses as a way to further...more
Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more
5/6/2014
/ Broker-Dealer ,
Cyber Attacks ,
Cyber Insurance ,
Cybersecurity ,
Cybersecurity Framework ,
Data Breach ,
Data Protection ,
Identity Theft ,
OCIE ,
Red Flags Rule ,
Securities and Exchange Commission (SEC)
On April 15, 2014 the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more
As reported by the Wall Street Journal, the SEC Enforcement Staff is one year into a wide-ranging review of disclosures made by financially stressed municipal bond issuers. This review has focused on whether municipalities...more