Corporate & Securities
Our Corporate & Securities Practice is comprised of more than 100 corporate and finance attorneys offering our clients a blend of comprehensive legal expertise and practical business counseling that enables them to clarify goals, find solutions, and achieve results across varied business transactions.
Whether acting as general or special counsel, we advise our clients on a wide variety of issues affecting commercial, financial, and industrial enterprises, both publicly and privately owned. Our representation includes work for small- and medium-sized businesses, Fortune 500 companies, and nonprofit organizations, as well as investment companies, trade associations, governmental agencies, and individuals. Reflecting the increasing interdependence of the world economy, our clients include American, European, Canadian, Japanese, Middle Eastern, and South American multinational companies, as well as smaller business ventures and individuals throughout the world.
Mintz Levin has a long tradition of acting as a trusted advisor to its business clients. We are committed to continuing this tradition, not only with our institutional clients who are competing in the complex international marketplace, but also with those sole proprietors, joint ventures, franchisers, and financiers of small business who need comprehensive, experienced business counsel. Our clients demand, and are entitled to expect, extraordinary client service, delivered efficiently and professionally.
We have aided our clients—U.S. and international—in billions of dollars of public and private financings and multimillion dollar sales and acquisitions in industries as diverse as telecommunications, health care, shipping and logistics, biotechnology and the life sciences, manufacturing, banking, real estate, energy, transportation, Internet and e-commerce, hardware and software, nanotechnology, and retail.
Related Industries
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Publications
Securities Memorandum: Preparation for 2011 Fiscal Year SEC Filings and 2012 Annual Shareholder Meetings
1/19/2012
User Fees, Drug Shortages, Off-Label Issues Among PLIR Board's Top Concerns for 2012
1/13/2012
BNA Pharmaceutical Law & Industry Report
Mintz Levin Nabs 3 Proskauer, Baker & McKenzie Attys
1/12/2012
Law360
Privacy Legislation and Regulation to Watch in 2012
1/1/2012
Law360
Corporate & Securities Advisory: Thinking Ahead: Preparing to Sell the Privately Held Business
12/7/2011
Using Finders to Assist in Financings: Understanding the Risks Associated with Unregistered Broker-Dealers
12/2011
Steve Ganis, Jeremy D. Glaser and Jake Romero
Practical Law Company
Crowd-Funding is Coming, But Will it Be Niche Only?
11/28/2011
BioWorld Insight
Creating an IPO Alternative for Small Biotechs
11/21/2011
BioWorld Insight
Reg-A, Crowd-Funding Bills Expand Options for Biotechs
11/14/2011
BioWorld Today
Opportunities in China, India Have Legal, Regulatory Hurdles
11/10/2011
BioWorld Today
Securities Alert: SEC’s Microcap Fraud Working Group Roundtable Airs Problems, Offers Suggestions
10/24/2011
Relocating Abroad
10/24/2011
Modern Healthcare
Securities Law/Privacy Alert: SEC Provides Disclosure Guidance on Cybersecurity
10/20/2011
Franchise Alert: Massachusetts Supreme Judicial Court Affirms Lower Court Ruling in Favor of Employees Misclassified as Franchisees/Independent Contractors
9/13/2011
Corporate Alert: UK Bribery Act: Understanding & Mitigating Risks
9/8/2011
Corporate & Securities Alert: Federal Appeals Court Vacates SEC’s Proxy Access Rule
8/18/2011
The Impact of Sarbanes-Oxley on Private Companies and Corporate Governance Best Practices
8/2011
Megan N. Gates
Practical Law Company
A Track Record Offers a Better Chance of Attracting VC
7/29/2011
Boston Business Journal
Once more into the Breach: Are We Learning Anything?
7/19/2011
Cynthia Larose
Westlaw Journal Automotive
Securities/Corporate Compliance & Internal Investigations Alert: SEC Adopts Final Whistleblower Bounty Rules under Dodd-Frank
6/16/2011
Advisory: Stock Options in Merger & Acquisition Transactions
6/6/2011
Life Sciences/Securities Advisory: Important Factors That May Affect the Size of Your Financing Transaction
6/1/2011
Using Finders to Assist in Financings Can Impose Significant Risks
6/2011
Steve Ganis, Jeremy D. Glaser and Jake Romero
Insights: The Corporate & Securities Law Advisor
Periscope Up: This Lawyer/VC is Always Looking Around the Corner
6/2011
Venture Capital Journal
2011 Up & Coming Lawyers: Tania Rodrigues Cleary
5/30/2011
Massachusetts Lawyers Weekly
Q&A: A Fresh Take on Life Sciences
5/27/2011
M&A Alerts
Liability in Credit Card Breach Suits Tied to Strict Industry Standards
5/16/2011
Massachusetts Lawyers Weekly
Securities Alert: Using Finders to Assist in Financings Can Impose Significant Risks on Your Company
4/29/2011
FDA Releases Strategic Priorities That Will Guide Agency Through 2015
4/29/2011
BNA's Pharmaceutical Law & Industry
Increase in Mergers and Acquisitions Signals Potential for Stronger Market
3/24/2011
Jeremy Glaser
Los Angeles Daily Journal
Securities Client Memorandum: Preparation for 2010 Fiscal Year SEC Filings and 2011 Annual Shareholder Meetings
2/10/2011
Securities Alert: SEC Adopts Final Say-on-Pay Rules
2/8/2011
PLIR Advisory Board Sees Biosimilars, Enforcement Among Top Concerns for 2011
1/21/2011
BNA's Pharmaceutical Law & Industry
Webinar: Practical Tips and Strategies for Public Companies Navigating the New “Say on Pay” Regime — Are You Ready?
1/19/2011
Securities Advisory: The Dodd-Frank Act and Foreign Private Issuers
1/18/2011
Non-Profit Institutions Advisory: Massachusetts Governor Signs Legislation to Increase Penalties against Noncompliant Public Charities, Fundraisers, and their Leaders and to Simplify the Public Charity Dissolution Process
7/28/2010
Venture Capital and Emerging Companies Alert: Dodd-Frank Act Affects Private Placements by Raising the Bar for Individual Accredited Investors
7/26/2010
Government Contracts Alert: Department of Labor Issues Final Rule Requiring Federal Contractors to Post Employee Rights
5/27/2010
Top Ten Corporate Lawyers
1/2010
Women's Business Boston
The Deal Video: Mintz Levin's Mason on the Hot Secondary Market
11/12/2009
The Deal
Energy and Clean Technology Alert: Smart Grid Privacy Issues To Be Examined by the Federal Communications Commission - Comment Period through October 2, 2009
9/25/2009
White Collar Defense Advisory: The DOJ's Aggressive New Policy To Prosecute Foreign Private Commercial Bribery
9/9/2009
Non-Profit Institutions Advisory: Massachusetts Enacts the Uniform Prudent Management of Institutional Funds Act
7/29/2009
The New Massachusetts Data Security Requirements: Additional Obligations or More of the Same?
7/24/2009
Employee Benefit News
Non-Profit Institutions Advisory: Proposed UPMIFA Legislation Will Increase Flexibility in Spending and Management of Endowment Funds
6/4/2009
Ensuring Effective Broker-Dealer SAR Programs
5/2009
Steve Ganis
The SAR Activity Review
Climate Change and Public Company Disclosure
5/2009
Sahir Surmeli
Power & Energy Solutions
Toxic Assets Alert: Treasury Department Releases Plan on Toxic Assets
3/26/2009
Inside The Deal: Mintz Levin's Gulotta on Takeover Bid Preparation
2/19/2009
Stephen Gulotta
The Deal
Webinar: Acquisitions in a Distressed Environment
2/12/2009
Privacy and Security Alert: Office of Consumer Affairs and Business Regulation Faces Growing Criticism Over Data Security Regulations’ Content and Implementation Date
1/30/2009
Mintz Levin on Smart Targets
1/21/2009
Stephen Gulotta, Jr. and Charlotte Edelman
The Deal
Retail and Consumer Products Advisory: Selling and Honoring Gift Cards in Bankruptcy
1/16/2009
Massachusetts Data Security Standards
1/2009
Cynthia Larose, Elissa Flynn-Poppey, and Julia M. Siripurapu
Intellectual Property Counselor
Corporate Alert: SEC Adopts XBRL and Launches IDEA
12/24/2008
Nonprofit Institutions Advisory: Direct Challenge to Prohibition against Intervention in Political Campaigns
11/21/2008
Securities Alert: Do You Need to Refile Your Shelf Registration Statements?
11/13/2008
Privacy and Security Alert: When the Clock Strikes Midnight on January 1, 2009, Will Your Information Security Program Be Ready?
10/31/2008
International Trade Alert: Bureau of Industry and Security Announces Intra-Company Transfer License Exception
10/21/2008
"Say on Pay" Has its Day?
9/22/2008
Mary-Laura Greely and Pamela Greene
The Deal
Corporate Governance Advisory: Delaware Court Ruling May Impact Charter-Provided Advancement Rights to Officers and Directors
6/4/2008
Life Sciences Industry Extra: Mintz Levin’s Joel Papernik to Speak at BIO International Convention
5/29/2008
Privacy and Security Alert: The FTC Approves Long-Awaited CAN-SPAM Discretionary Rule
5/13/2008
Life Sciences Industry Extra: Mintz Levin's Joel Papernik to Speak at NYBA Annual Meeting
5/6/2008
Privacy and Security Advisory: Proposed Amendments May Expand Protection of Consumer Financial Information in the Securities Industry
4/28/2008
Privacy Alert: Virginia: The 40th State
4/10/2008
Privacy and Security Alert: FTC Proposes “Self-Regulatory” Principles for Ehavioral Online Advertising
1/29/2008
Energy and Clean Tech Connections (December 2007)
12/21/2007
An Overview of Technology Transfer Practices in India, as of 2007
12/2007
Julia M. Siripurapu
Les Nouvelles
Energy and Clean Tech Connections (November 2007)
11/28/2007
Securities Law Alert: SEC Shortens Rule 144 Holding Period and Adopts Other Regulatory Relief For Smaller Companies
11/26/2007
Energy and Clean Tech Connections (October 2007)
10/18/2007
Securities Law Advisory: "E-Proxy" Rules Take Effect
10/12/2007
Energy and Clean Tech Connections (September 2007)
9/19/2007
Privacy and Security Alert: Massachusetts and Oregon Adopt Data Breach Notification Legislation
8/22/2007
Energy and Clean Tech Connections (August 2007)
8/16/2007
Six Mintz Levin Attorneys quoted in 2007 Corporate Board Member Special Supplement
7/3/2007
International Trade Alert: Exports to China Must Comply with New Commerce Department Licensing Rules
6/28/2007
Securities Law Alert: SEC Proposes Regulatory and Offering Relief for Smaller Companies
5/29/2007
Business and Finance Article: Making Management Retention Plans Work
5/1/2007
Securities Law Advisory: Preparation for 2006 Fiscal Year SEC Filings and 2007 Annual Shareholder Meetings
3/13/2007
Privacy and Security Alert: Six Additional State Data Security Breach Notification Laws Become Effective in 2007
2/21/2007
Business and Finance Article: Option Backdating: Why the Fuss and How to Avoid It
2/8/2007
Business and Finance & Employment, Labor and Benefits Alert: Maryland Law Prohibits Printing Social Security Numbers on Paychecks
1/16/2007
Securities Law Alert: SEC Amends Recently Adopted Executive Compensation Disclosure Requirements
1/12/2007
Litigation Advisory: McNulty Memorandum Revises DOJ Guidelines for Corporate Prosecutions, but Is It Enough?
1/10/2007
Securities Law Alert: SEC Provides Relief for Smaller Companies on Sarbanes-Oxley Internal Control Reporting
1/2/2007
Patent Misuse: What University Licensors Need to Know to Avoid Falling into the Patent Misuse Trap
1/2007
Julia M. Siripurapu
Piece Law Center IP Mall
Securities Law Advisory: The SEC's Compensation Disclosure Reforms: Principles-Based Disclosure Arrives for Executive Compensation
11/15/2006
Securities Law Advisory: The SEC's Compensation Disclosure Reforms: 8-K Disclosure Requirements
11/2/2006
Public Finance Advisory: New Proposed Regulations Regarding Partial Tax-Exempt Financing of Mixed-Use Facilities
9/21/2006
Securities Law Alert: NASDAQ's New Market Categories; NASDAQ Becomes a National Securities Exchange
8/15/2006
White Collar Practice Alert: Pressuring KPMG to Cut Off Advancement of Fees of Employees in Criminal Tax Shelter Investigation Violates Constitutional Rights
6/29/2006
Public Finance Advisory: Important June 30, 2006 Deadline Approaching
6/28/2006
Business and Finance Alert: Hedge Fund Rule Vacated by United States Court of Appeals
6/27/2006
East Coast Venture Capital Survey - 2005, Quarter 4
3/3/2006
Government Contracts Alert: Failure to Properly Mark Deliveries to Government Customers Causes Loss of IP Rights
12/15/2005
East Coast Venture Capital Survey - 2005, Quarter 3
12/15/2005
Business and Finance Alert: Important Q&A on the Effect of New Section 409A of the Internal Revenue Code on Stock Options and Other Types of Equity Grants
12/14/2005
East Coast Venture Capital Survey - 2005, Quarter 2
9/28/2005
Business and Finance Article: Taking the Big Step: Financing an Acquisition
8/16/2005
Business and Finance Article: Make the Best Deal out of an Acquisition
7/14/2005
White Collar Practice Advisory: More than a Shred of Evidence: Further Lessons from Andersen
6/17/2005
Business Client Alert: Bank Regulators Requiring Financial Institutions to Adopt Tougher Measures on Data Security
6/2/2005
East Coast Venture Capital Survey - 2005, Quarter 1
6/1/2005
Business and Finance Client Alert: FTC Seeks Comment on Additional CAN-SPAM Rules
5/16/2005
Non - Profit Organizations Client Alert: Massachusetts Attorney General Proposes Corporate Governance Bill for Public Charities
5/5/2005
East Coast Venture Capital Survey - 2004, Quarter 4
3/25/2005
Securities Law Client Alert: SEC Postpones Periodic Report Deadlines for Accelerated Filers
12/28/2004
Government Contracts Article: Infotech and the Law: Negative performance review? You now have relief.
12/15/2004
Health Article: Effective and Compliant Records Management Policies for Health Care Providers and Suppliers
11/25/2004
Business Advisory: SEC Proposes Registration Requirements for Hedge Fund Advisors
9/24/2004
Mergers and Acquisitions Advisory: New Limitation on the Use of Lock-up Agreements
5/25/2004
Securities Client Alert: Payment of Fees to the PCAOB
2/24/2004
Securities Advisory: Proxy Statement Disclosure Regarding Nominating Committee Functions and Communications Between Security Holders and Boards of Directors
2/5/2004
Securities Advisory: Complaint Mechanisms and Employee Whistleblowing
1/15/2004
Securities Advisory: Revised Guidance on Certification of Periodic Reports
1/5/2004
Business Alert: CAN-SPAM Act of 2003 Signed into Law by President Bush - Sets First National Standards for Commercial E-Mail
12/22/2003
Securities Advisory: NYSE and Nasdaq Rules Requiring Shareholder Approval of Equity Compensation Plans
12/15/2003
Securities Advisory: NASDAQ Corporate Governance Rules
11/10/2003
Business Client Alert: Mandatory Electronic Filing for Exporters
10/15/2003
Securities Advisory: Auditor Independence
9/8/2003
Securities Advisory: Attorney Professional Conduct Rules
8/1/2003
Securities Advisory: Safe Harbor From Definition of "Investment Company"
7/18/2003
Securities Advisory: Improper Influence of Audits and Retention of Auditor Records
6/26/2003
Environmental Article: Minimizing Transactional Environmental Risks: Selecting and Managing the Right Environmental Consultant
5/15/2003
Securities Advisory: Electronic Filing and Website Posting of Section 16 Forms
5/14/2003
Securities Advisory: Corporate Code of Ethics
4/30/2003
Securities Advisory: Audit Committee Financial Expert
4/29/2003
Securities Advisory: Audit Committee Independence and the Responsibilities of Audit Committees
4/15/2003
Business Client Alert: Explosives Detection Equipment Under New Export Controls
4/14/2003
Securities Advisory: Trades By Insiders During Retirement Plan Blackout Periods
4/4/2003
Securities Advisory: Form 8-K Furnishing of Earnings Press Releases
3/31/2003
LTC Matters: Litigation Buyout Insurance: Removing Pending Legal Actions from the Deal
3/28/2003
Securities Advisory: Non-GAAP Financial Measures
3/27/2003
Securities Advisory: California Corporate Disclosure Act
2/25/2003
Securities Advisory: First Enforcement Actions Under Regulation FD
2/5/2003
Intellectual Property Client Alert: Disclosure Controls and Procedures
1/31/2003
Securities Advisory: Update on the Sarbanes-Oxley Act (Eighth in a Series): SEC Adopts Final Rules Under Additional Provisions of Sarbanes-Oxley
1/27/2003
Securities Advisory: Update on the Sarbanes-Oxley Act (Seventh in a Series): SEC Adopts Final Rules Under Certain Provisions of Sarbanes-Oxley
1/21/2003
Securities Advisory: Update on the Sarbanes-Oxley Act (Sixth in a Series): SEC Issues Proposed Rules on the Use of Non-GAAP Financial Information including proposed requirements to file earnings released on Form 8-K
12/9/2002
Business Advisory: How Does the New Corporate Governance Regime Affect Private Issuers?
12/3/2002
Securities Advisory: Update on the Sarbanes-Oxley Act (Fifth in a Series): SEC Issues Proposed Rules on Audit Committee Financial Experts
11/22/2002
Securities Advisory: Accelerating Filing of, and Website Access to, Periodic Reports
9/19/2002
Securities Advisory: Further Guidance on Certification of Periodic Reports
9/12/2002
Securities Advisory: Section 16 Amendments
9/5/2002
Business Advisory: Do you know Your Distributor? International Business Relationships Due Diligence as Part of Corporate
9/1/2002
Securities Advisory: Accelerated Filing of Forms 4
8/21/2002
Securities Advisory: SEC Proposes Regulation Analyst Certification to Address Research Analyst Conflicts of Interest.
8/19/2002
Securities Advisory: Certification of Periodic Reports
8/8/2002
Business Advisory: The Launch of the Bulletin Board Exchange
8/7/2002
Securities Client Alert: SEC Expands Shareholder Power to Propose Votes on Equity Compensation Plans.
8/5/2002
Securities Advisory: Section 906 Certifications and Prohibition On Personal Loans to Executives
8/2/2002
Securities Advisory: SEC Orders Certification of Periodic Reports by Principal Executive and Financial Officers of Largest Public Companies.
7/29/2002
Securities Advisory: Overview of the Sarbanes-Oxley Act
7/29/2002
Antitrust Advisory: The Importance of an Effective Antitrust Compliance Program
7/1/2002
Securities Advisory: SEC Approves New Rules Addressing Research Analyst Conflicts of Interest
6/19/2002
Business Memorandum: Tougher Export Controls on Chemical and Biological Materials and Technologies from June Meeting of Australia Group
6/18/2002
Securities Advisory: SEC Adopts New EDGAR Filing Rules for Foreign Issuers
6/11/2002
Securities Advisory: Critical Accounting Policies
6/10/2002
Business Client Alert: NYSE Proposes Changes to Corporate Governance Rules
6/10/2002
Business Client Alert: EU to Assess New Value-Added Taxes on E-Commerce with U.S. Businesses
5/1/2002
Business Client Alert: Nasdaq Outlines Potential Changes to Corporate Governance Standards for Listed Companies
4/26/2002
Securities Client Alert: SEC Approves Mandatory Electronic Filing of NASD Submissions
4/23/2002
Securities Client Alert: SEC Proposes Accelerated Filing Deadlines, Website Access Disclosure, and 8-K Disclosure of Management Transactions
4/17/2002
Business Client Alert: Analyst Conflicts of Interest
4/12/2002
Business Client Alert: ITAR Exemptions for U.S. Institutions of Higher Learning
4/1/2002
Business Advisory: IRS Issues Proposed Regulations and Closing Agreement Procedures for Hospital Acquisition Bonds
4/1/2002
Securities Client Alert: SEC Announces Intention to Significantly Change Corporate Disclosure Rules
3/8/2002
Business Client Alert: Federal Legislation Update: The USA PATRIOT Act and Applicability of Anti-Money Laudering Rules to Private Investment Companies/Funds
3/1/2002
Business Client Alert: Federal Legislation Update- The USA PATRIOT Act and Applicability of Anti-Money Laundering Rules to Private Investment Companies/Funds
3/1/2002
Business Advisory: Best Strategies for Selling a Medical Device Business
3/1/2002
Securities Advisory: SEC Disclosure Policy on Foreign Issuer Interests in U.S.- Embargoed Countries.
11/13/2001
Securities Advisory: Michael R. McAlevey, Deputy Director of the Division of Corporation Finance of the Securities and Exchange Commission Speaks on Recent Developments at the Division of Corporation Finance of the SEC.
11/12/2001
Securities Advisory: SEC Proposes That Foreign Issuers File Electronically On Edgar.
11/1/2001
Business Client Alert: D&O Insurance Alert: Are you Covered?
11/1/2001
Business Advisory: Preventing Employee Trade Secret Misappropriation
11/1/2001
Securities Client Alert: The NASDAQ Stock Market Takes Actions to Help Companies Remain Listed
10/1/2001
Business Advisory: Rule 10b5-1 Trading Plans: Common Questions and Practical Guidance
10/1/2001
Securities Advisory: Rule 10b5-1 Trading Plans: A One-Year Update
9/1/2001
Securities Advisory: Regulation FD: A One-Year Retrospective Analysis
9/1/2001
Intellectual Property Client Alert: European Patent Office Takes hard Line Against Business Method Patents
8/1/2001
Business Client Alert: How to Avoid Export Compliance Traps in E-Commerce
8/1/2001
Securities Client Alert: New Guidance on Equity Line Financing Arrangements
6/1/2001
Business Article: Financial Comfort If a Seller Doesn't Tell the Truth
3/1/2001
Securities Advisory: New SEC Rule 155: Integration of Abandoned Offerings
2/1/2001
Securities Client Memorandum: Rule 10b5-1 and The New "Safe Harbor" for Trading by Insiders of Company Securities
11/15/2000
Securities Advisory: The SEC Adopts Regulation FD and Rules 10b5-2: New Selective Disclosure Rule and Insider Trading Rules
9/1/2000
Securities Client Alert: Reminder- Companies Must Adopt an Audit Committee Charter by June 14, 2000
5/1/2000
Antitrust Article: Merger Mania: How a Business Lawyer Can Assist Antitrust Counsel
4/1/1998
Resources
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