Mintz Levin - Securities Litigation & Compliance Matters

DOJ Emphasizes Role of Criminal Prosecution in Addition to Regulatory Enforcement

The U.S. Department of Justice, through the Assistant Attorney General in charge of its Criminal Division, spoke forcefully on Tuesday regarding “the role of criminal law enforcement in prosecuting conduct that may also be…more
| Administrative Law, Business Organizations, Criminal Law, Securities Law

Preserving Net Operating Losses (NOL) Carryforward: What Are You Doing to Protect Your Company’s Valuable Tax Assets?

A company’s past NOLs can be used to offset taxable income in future years, subject to certain limitations. For companies that have operated at a significant loss and expect to turn a profit in the foreseeable future, the…more
| Business Organizations, Finance & Banking, Securities Law, Taxation

SEC Announces Action Against Company for Using Confidentiality Agreements That Allegedly Could Deter Whistleblowers

As we discussed in a post last month, the SEC has been closely scrutinizing whether companies may be using non-disclosure and confidentiality agreements that could discourage employees from acting as whistleblowers and…more
| Business Organizations, Finance & Banking, Labor & Employment Law, Securities Law

IRS Releases Final Regulations Clarifying 162(m) Limitation on Compensation

Section 162(m) of the Internal Revenue Code precludes the deduction by public companies for compensation paid to certain covered employees in excess of $1,000,000 in any taxable year. This limitation on deduction does not apply…more
| Commercial Law & Contracts, Labor & Employment Law, Securities Law, Taxation

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
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Delaware Bar Proposes Amendments to Ban Fee-Shifting Provisions and Allow Delaware-Only Forum Selection Provisions in Corporate Charters and Bylaws

The Council of the Corporation Law Section of the Delaware State Bar Association recently released proposed amendments to the Delaware General Corporation Law (DGCL) that would prohibit fee-shifting provisions in a corporation’s…more
| Business Organizations, Civil Procedure, Commercial Law & Contracts, Elections & Politics, Securities Law

Supreme Court Holds That Issuers Can Be Liable for Omitting Material Facts From Statements of Opinion in Omnicare Case

In its opinion in Omnicare, Inc. v. Laborers District Council Construction Industry Pension Fund, released yesterday, the U.S. Supreme Court held that a securities issuer’s statement of opinion in a registration statement, even…more
| Business Organizations, Business Torts, Securities Law

More “Broken Windows”: SEC Charges Schedule 13D Filers with Disclosure Violations for Failing to Update Ownership Reports

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
| Administrative Law, Business Organizations, Finance & Banking, Securities Law

Factors the SEC Considers When Deciding Whether to Grant a Waiver to a Statutory Disqualification

On March 12, 2015, SEC Chair Mary Jo White gave a speech at the Corporate Counsel Institute at Georgetown University that shed light on disqualifications, exemptions, and waivers under the federal securities laws. Most notably…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Delaware Legislature Introduces Rapid Arbitration Act

The Delaware Rapid Arbitration Act, House Bill 49, was recently introduced in the Delaware General Assembly. The proposed Act would establish a streamlined arbitration procedure to resolve disputes involving Delaware business…more
| Alternative Dispute Resolution (ADR), Business Organizations, Commercial Law & Contracts, Constitutional Law, Elections & Politics

SEC Whistleblower Inquiry Raises Concerns About Protection of Confidential and Privileged Information

According to a recent Wall Street Journal article, the SEC has launched an inquiry into whether corporations are using confidentiality agreements to prevent employees from communicating with the SEC about potential securities…more
| Administrative Law, Civil Rights, Labor & Employment Law, Securities Law

Floyd Advisory’s Analysis of 2014 SEC Enforcement Actions

Our friends over at Floyd Advisory recently released their Summary of Accounting and Auditing Enforcement Releases for the Year Ended December 31, 2014. Some of the more notable highlights from the report include..…more
| Administrative Law, Business Organizations, Finance & Banking, Securities Law

SEC Enforcement Director Discusses Issues for Pharmaceutical and Medical Technology Companies

In a wide-ranging speech on Tuesday, Securities and Exchange Commission Director of Enforcement Andrew Ceresney discussed recent SEC actions and current concerns involving the pharmaceutical and medical technology industries…more
| Business Organizations, Commercial Law & Contracts, International Law & Trade, Science, Computers, & Technology, Securities Law

Lessons from the OECD Foreign Bribery Report

In December 2014, the Organization for Cooperation and Economic Development (“OECD”) published its first-ever foreign bribery report, the most comprehensive study of foreign bribery cases around the globe that has ever been…more
| Commercial Law & Contracts, Criminal Law, International Law & Trade

Goodyear’s Settlement with the SEC Emphasizes the Importance of FCPA Due Diligence in M&A Transactions and of Having a Robust Anti-Corruption Policy

On February 24, 2015, Goodyear Tire & Rubber Co. agreed to pay more than $16 million to settle charges that two of its subsidiaries allegedly paid $3.2 million in bribes that generated $14,122,535 in illicit profits. The SEC…more
| Antitrust & Trade Regulation, Commercial Law & Contracts, Criminal Law, International Law & Trade, Mergers & Acquisitions
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