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SEC Issues New Statement on Cybersecurity Incident Disclosure

June 3, 2024 | Alert | By Daniel T. Kajunski, Anne Bruno, Cynthia Larose, Raven Sun

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Reminder – T-1 Settlement Starts Today, Tuesday, May 28, 2024

May 28, 2024 | Alert | By Daniel T. Kajunski, Allyson Wilkinson

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Proposed Treasury Regulations Provide Guidance on Stock Buyback Excise Tax for Redemptions and M&A Transactions

May 23, 2024 | Alert | By David Salamon, Gregg M. Benson, Timothy J. Santoli, Helen Huang

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Recent SEC Rules and Guidance Impose New Obligations on SPACs and Reverse Mergers

May 15, 2024 | Alert | By Anne Bruno, Daniel T. Kajunski, Samantha Silver

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Frequently Asked Questions for Private Companies Considering a Reverse Merger

February 13, 2024 | Article | By William Hicks, John T. Rudy

Reverse mergers aren’t an alternative to an IPO, rather they can be a strategic approach for companies looking to go public by leveraging “fallen angels”. Mintz Members Bill Hicks and John Rudy answer frequently asked questions for private companies considering a reverse merger in an article featured in PitchBook’s 2023 Annual US VC Valuations Report. The authors detail the benefits and challenges associated with a reverse merger including finding partners, PIPE financing, Nasdaq access for non-US companies, and SEC implications.
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New for 2024: Compliance with the Corporate Transparency Act Necessary for Many Mintz Clients

February 1, 2024 | Alert | By Will Perkins, Steve Ganis, Daniel Gaquin, Daniel Guggenheim, David Adams

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Court Vacates SEC’s New Share Repurchase Disclosure Rules

December 21, 2023 | Advisory | By Daniel T. Kajunski, Hannah L. Karraker

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Preparation for 2023 Fiscal Year-End SEC Filings and 2024 Annual Shareholder Meetings

December 15, 2023 | Advisory | By John Condon, Anne Bruno, Melanie Ruthrauff Levy, Jacob Hupart, Cynthia Larose, Breton Leone-Quick, Page R. Hubben, Ellen Shapiro

Public companies need to consider regulatory, legal, market, and ESG-related developments in preparing for their fiscal year-end filings with the SEC and their annual shareholder meetings. In an in-depth memorandum, Mintz attorneys discuss the SEC’s new cybersecurity disclosure rule, recent trends in reverse stock splits, and the SEC’s disclosure requirements for Rule 10b5-1 trading plans and insider trading policies, and other emerging issues affecting public companies.
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SEC Chair Doubles Down on AI Conflict of Interest Rules, Warns Firms Not to “AI-Wash” — AI: The Washington Report

December 15, 2023 | Article | By David Adams, Bruce Sokler, Alexander Hecht, Christian Tamotsu Fjeld, Raj Gambhir

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SEC Adopts Amendments to Section 13 Reporting Requirements

October 25, 2023 | Alert | By Anne Bruno, Daniel T. Kajunski, Raven Sun

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SEC Adopts Final Cybersecurity Rules for Public Companies

August 1, 2023 | Blog | By Cynthia Larose, John Condon, Michael Katz, Stefan Jović

The SEC adopted its final rules and amendments concerning cybersecurity risk management, strategy, governance, and incident disclosure (the “Final Rule”) on July 26, 2023.  In this article we highlight some of the principal changes to the cybersecurity rules first proposed by the SEC more than 16 months prior.
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It’s June 30th – Time to Evaluate Your SEC Filer Status

June 30, 2023 | Alert | By Daniel T. Kajunski

For US public companies with a second fiscal quarter ending on June 30, it’s time to evaluate whether to seek classification as a smaller reporting company by the SEC, which entails fewer disclosure requirements.
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SEC Adopts New Share Repurchase Disclosure Rules

May 18, 2023 | Alert | By Daniel T. Kajunski, Hannah L. Karraker

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