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
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 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
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 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
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