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
Public companies initiating the year-end reporting process will need to consider, and in many cases take steps to address, a number of significant developments and issues. To assist companies in this process, Mintz has...more
12/9/2022
/ Annual Meeting ,
Breach of Duty ,
Clawbacks ,
Climate Change ,
Corporate Governance ,
Cybersecurity ,
Data Protection ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Filing Deadlines ,
Insider Trading ,
Privacy Laws ,
Proxy Advisors ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Stock Markets ,
Supply Chain ,
Ukraine
As public companies embark on the year-end reporting process, they will need to consider, and in some cases take steps to address, a number of significant developments and issues. As in past years, Mintz has prepared a...more
1/19/2022
/ Annual Meeting ,
Coronavirus/COVID-19 ,
Corporate Governance ,
Cybersecurity ,
Data Privacy ,
Disclosure Requirements ,
Enforcement ,
Environmental Social & Governance (ESG) ,
Executive Compensation ,
Fiscal Year ,
Nasdaq ,
New Legislation ,
NYSE ,
Popular ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
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
2/5/2016
/ Annual Meeting ,
Conflict Mineral Rules ,
Cybersecurity ,
Disclosure-Based Settlements ,
Executive Compensation ,
Forum Selection ,
Institutional Shareholder Services (ISS) ,
Pay Ratio ,
Popular ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Shareholder Activism ,
Shareholders ,
Whistleblowers
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
Last week, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more
5/6/2014
/ Broker-Dealer ,
Cyber Attacks ,
Cyber Insurance ,
Cybersecurity ,
Cybersecurity Framework ,
Data Breach ,
Data Protection ,
Identity Theft ,
OCIE ,
Red Flags Rule ,
Securities and Exchange Commission (SEC)
On April 15, 2014 the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) released a Risk Alert announcing its Cybersecurity Initiative....more