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Preparation for 2024 Fiscal Year-End SEC Filings and 2025 Annual Shareholder Meetings

Every year, Mintz provides analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange Commission and their annual shareholder...more

The US Securities & Exchange Commission Targets AI on Multiple Fronts: AI Sweep Examination

My last note touched on a recent SEC rule proposal regarding Predictive Data Analytics, and a speech by Chair Gary Gensler highlighting a number of AI-related concerns. The SEC’s interest in the use of AI does not appear...more

Could the new SEC "Names Rule" kill ESG funds?

Could the new SEC "Names Rule" really kill ESG funds as this article suggests? It seems very doubtful, but whether you agree with the linked article or not, it does provide an interesting perspective....more

What we can learn from one of the most detailed ESG SEC actions to date

The U.S. Securities & Exchange Commission (“SEC”) recently found that an investment adviser mischaracterized its integration of Environmental, Social, and Governance (“ESG”) factors into research and investment...more

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