Mintz Levin - Securities Litigation & Compliance Matters

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

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

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 reports…more
| Commercial Law & Contracts, Finance & Banking, Securities Law, Taxation

Massachusetts Adopts Intrastate Crowdfunding Rules, Effective Immediately

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

Risk Management, Indemnification and D&O Coverage — Texas Wall Street Women Style

My colleagues Heidi Lawson, Dionne Lomax, and I just finished our tour of four Texas cities in as many days, meeting a lot of incredibly talented, smart, and fun Wall Street women (yes, and some men too) in San Antonio, Austin,…more
| Commercial Law & Contracts, Insurance
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  • Securities Law
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