Mintz Levin - Securities Litigation & Compliance Matters

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Boston, MA 02111, United States

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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

“Appraisal Arbitrage” Receives Boost from Delaware Court of Chancery

An increasingly popular hedge fund strategy, commonly referred to as “appraisal arbitrage,” recently received a significant boost from the Delaware Court of Chancery. Appraisal arbitrage refers to the practice of buying shares…more
| Civil Procedure, Constitutional Law, Finance & Banking, Mergers & Acquisitions, Securities Law

2014 IPO Statistics: IPO Boom?

IPO recovery? Last year was the most active year for IPOs in the United States since 2000. That’s right: an astounding 275 IPOs were completed in 2014, topping the 2013 total of 222 by more than 23%. Total U.S. IPO proceeds also…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Four Things to Know About the 2015 SEC OCIE Exam Priorities

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
| Administrative Law, Finance & Banking, Securities Law

Delaware Supreme Court Holds That Court of Chancery Can Restrict Forum Where Books and Records Can Be Used

Previously we have discussed Delaware court decisions upholding forum selection bylaws requiring suits involving a corporation’s internal affairs to be filed in a specified court, such as the Delaware Court of Chancery. Last…more
| Civil Procedure, Commercial Law & Contracts, Securities Law

SEC Proposes Changes to Exchange Act Rules to Implement Title V and Title VI of the JOBS Act

The SEC recently proposed rule amendments as part of its implementation of Title V and Title VI of the JOBS Act. These proposed amendments reflect the increased registration, termination of registration and suspension of…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Hello Newman! (and Chiasson): Second Circuit Decision Raises the Bar for Government to Prove Liability of “Remote Tippees” in Insider Trading Cases

In a groundbreaking decision, the United States Court of Appeals for the Second Circuit has reversed the 2013 insider trading convictions of Todd Newman and Anthony Chiasson. The decision in United States v. Newman, No. 13-1837…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, Securities Law

ISS Releases 2015 Proxy Voting Guidelines

ISS (Institutional Shareholder Services) has released its annual 2015 Proxy Voting Guidelines Updates. These guidelines apply to annual meetings to be held on or after February 1, 2015. Many of our clients have investors who do…more
| Commercial Law & Contracts, Securities Law

Federal Court Holds That Lack of Loss Causation Is Not a Defense Under Massachusetts Blue Sky Law

The United States District Court for the District of Massachusetts recently held in Massachusetts Mutual Life Insurance Co. v. Residential Funding Co., LLC, that lack of loss causation is not available even as an affirmative…more
| Civil Procedure, Civil Remedies, Commercial Law & Contracts, Business Torts, Securities Law
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