Securities & Capital Markets

This article discusses the LA Superior Court’s April 1, 2022 ruling in Crest v. Padilla, which challenged the constitutionality of a California statute requiring certain publicly traded companies to include members from underrepresented communities on their boards.

In this webinar, former Massachusetts Governor Bill Weld, and Members Megan Gates and Jacob Hupart, examine key takeaways from the SEC’s proposed climate-related disclosures rule.

This alert outlines key aspects of the SEC’s new proposed rules on climate disclosures, entitled “The Enhancement and Standardization of Climate-Related Disclosures for Investors.”

This advisory outlines the SEC’s new proposed cybersecurity disclosure rules and discusses how the changes will impact public companies and their boards.  

Public and private life science companies have multiple options available for capital-raising. Here are a few to be considered.

Read about key regulatory and other developments, including board diversity and other ESG matters, which public companies need to consider as they prepare for their fiscal year-end SEC filings and 2022 annual shareholder meetings.

Read about how institutional investors, proxy advisors, society, and asset managers are using their voting power to influence companies to adopt Environmental, Social and Governance (ESG) governance factors and goals.

This advisory provides some background on Governor Baker’s COVID executive order, issued in March 2020, and outlines what its expiration will mean for Massachusetts public companies planning shareholder meetings.

This Mintz advisory reviews amendments approved by the SEC in April 2021 to the NYSE’s rule governing the review and evaluation of related party transactions.

This Mintz advisory reviews amendments approved by the SEC in April 2021 to the NYSE’s shareholder approval rules for related party issuances and the issuance of 20% or more of a company’s stock.

The United States Department of Labor’s (“DOL”) Employee Benefits Security Administration (“EBSA”) announced on March 10, 2021 that it will not enforce certain final rules put into place under President Trump related to environmental, social, and governance (“ESG”) investing.

In January 2019, the Office of the Advocate for Small Business Capital Formation (the “Office”) was formed “to advance the interests of small businesses and their investors at the SEC and in the capital markets.” These small businesses include early-stage start-ups, small public companies, and everything in between. Each year, the Office prepares an annual report to Congress, which among other things, explains issues that small businesses face with respect to raising capital, including a focus on minority- and women-owned businesses. Included are some of the highlights from this year’s annual report, including a few of the Office’s recommendations to Congress.

Special Purpose Acquisition Companies (SPACs) are taking over Wall Street as more and more companies are taking advantage of this alternative IPO strategy.

This advisory summarizes SEC amendments, effective February 10, 202, to MD&A and other financial disclosure requirements and provides a chart highlighting the amended rules.

Read about regulatory and other developments public companies need to consider as they prepare for fiscal year-end Securities and Exchange Commission filings and 2021 annual shareholder meetings.

This advisory discusses the SEC’s final rules — effective November 2, 2020 — governing voting advice provided by proxy advisory firms such as Institutional Shareholders Service (ISS) and Glass Lewis.

This alert discusses the SEC’s November 17, 2020 adoption of rule amendments that allow the use of electronic signatures in some circumstances — a step that will streamline filing procedures for public companies.

Read about the SEC’s November 2 adoption of amendments designed to harmonize and simplify the complex framework of private offering exemptions.