Pamela Greene

Pamela Greene

Mintz Levin

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SEC Adopts Regulation A+: New Registration Option For Small and Mid-Sized Companies

The Securities and Exchange Commission adopted yesterday a new set of regulations entitled Regulation “A+,” designed to provide a more streamlined approach for small and mid-sized companies to offer securities to the public....more

3/27/2015

SEC Proposes Disclosure Rules on Hedging Policies

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

2/12/2015 - Dodd-Frank Hedging Proposed Regulation Public Disclosure Publicly-Traded Companies Regulation S-K SEC

Preparation for 2014 Fiscal Year-End SEC Filings and 2015 Annual 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

2/5/2015

Happy Valentine’s Day – Schedule 13G Filings Due This Year on February 17, 2015

Investors that own more than 5% of a public company’s securities and file under the exempt category (which includes most venture capital firms and other similar investors) are required to file their beneficial ownership...more

2/4/2015 - Angel Investors Beneficial Owner Filing Deadlines Filing Requirements Investors Publicly-Traded Companies Venture Capital

SEC Uses Data Analytics to Identify and Punish Late Form Filers

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

9/15/2014 - Enforcement Actions Filing Deadlines Filing Requirements Publicly-Traded Companies Reporting Requirements SEC

Proxy Season Litigation Primer: Defending Shareholder Suits to Enjoin Annual Meetings for Allegedly Inadequate Disclosures...

Over the past few years, as plaintiffs have found it increasingly harder to succeed in “say-on-pay” litigation, another type of litigation over proxy disclosures has been on the rise. These cases are generally brought as...more

3/21/2014 - Board of Directors Class Action Equity Compensation Executive Compensation Fiduciary Duty Professional Liability Proxy Season Say-on-Pay

Preparation for 2013 Fiscal Year-End SEC Filings and 2014 Annual 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

2/6/2014 - Annual Meeting Compliance Filing Deadlines Filing Requirements SEC Shareholders

PE Funds May Be Liable For Portfolio Company Pension Liabilities

Introduction - A recent decision by the U.S. Court of Appeals for the First Circuit increases the risk that a private equity fund could be liable for its portfolio company’s unfunded pension liabilities. Additionally,...more

8/15/2013 - Employee Benefits Employer Liability Issues ERISA Investment Portfolios Pensions Private Equity Retirement Plan

Preparation for 2012 Fiscal Year-End SEC Filings and 2013 Annual 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

2/25/2013 - Dodd-Frank Executive Compensation Say-on-Pay SEC

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