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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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Court Vacates SEC’s New Share Repurchase Disclosure Rules
December 21, 2023 | Advisory | By Daniel T. Kajunski, Hannah L. Karraker
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
SEC Adopts Amendments to Section 13 Reporting Requirements
October 25, 2023 | Alert | By Anne Bruno, Daniel T. Kajunski, Raven Sun
The US Securities & Exchange Commission Targets AI on Multiple Fronts — AI: The Washington Report
September 28, 2023 | Article | By David Adams
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
Further Guidance on SVB Provided by the FDIC
March 14, 2023 | Alert
Silicon Valley Bank Closure Updates
March 12, 2023 | Alert
Federal Reserve Invokes Systemic Risk Exception to Make SVB Depositors Whole
March 12, 2023 | Alert
SEC Adopts Amendments to Rule 10b5-1 Insider Trading Arrangements
December 27, 2022 | Blog | By Anne Bruno, Page R. Hubben
SEC Adopts Pay Versus Performance Compensation Disclosure Requirements
September 26, 2022 | Advisory | By Xandy Walsh, Anne Bruno, Daniel T. Kajunski
Time to Evaluate Your Filer Status for Next Year
July 26, 2022 | Advisory | By Daniel T. Kajunski
A Between The Biotech Waves Conversation With William Hicks
June 10, 2022 | Podcast
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