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California Board Diversity Statute Unconstitutional
April 12, 2022 | Alert | By Kevin M. Yao, Melanie Ruthrauff Levy
Webinar Recording: A Closer Look at the SEC's Proposed Climate-Related Disclosures and Implications for Public Companies
April 6, 2022 | Webinar | By Megan Gates, Jacob Hupart, William F. Weld
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.
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A Brief Summary of the SEC’s Proposed Climate-Related Rules
March 30, 2022 | Advisory | By Jacob Hupart, Megan Gates, William F. Weld, Doug Baumstein, Jennifer Rubin
Financing Options for Life Sciences Companies in 2022
March 21, 2022 | Blog
Public and private life science companies have multiple options available for capital-raising. Here are a few to be considered.
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SEC Proposes New Cybersecurity Rules for Public Companies
March 21, 2022 | Advisory | By Roman M. Gorokhov, Cynthia Larose, Megan Gates, John Condon
Preparation for 2021 Fiscal Year-End SEC Filings and 2022 Annual Shareholder Meetings
January 18, 2022 | Advisory | By Megan Gates, John Condon, Anne Bruno, Melanie Ruthrauff Levy, Daniel T. Kajunski, Cynthia Larose, Breton Leone-Quick, Page R. Hubben
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.
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Spotlight on ESG Investing: The Importance of Understanding Environmental, Social and Governance Factors and Their Impact on Investing
October 19, 2021 | Article | By Jonathan L. Kravetz
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.
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Massachusetts Executive Order Permitting Massachusetts Public Companies to Hold Virtual-Only Shareholder Meetings to Expire
July 12, 2021 | Advisory | By Anne Bruno
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.
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The Public Weighs In On How the SEC Should Regulate ESG Disclosures
June 22, 2021 | Blog | By Jacob Hupart, Ellen Shapiro
NYSE Amends Related Party Transaction Approval Rule
May 27, 2021 | Advisory | By Daniel T. Kajunski
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.
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NYSE Amends Shareholder Approval Rules
May 26, 2021 | Advisory | By Daniel T. Kajunski
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.
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2021’s Continued SPAC Boom Invites Heightened SEC Scrutiny of SPAC Transactions
March 26, 2021 | Blog | By Thomas Burton, John Sylvia, Sahir Surmeli, Patrick E. McDonough
Not So Fast: DOL Changes Course on Trump-Era ESG Investment Rule
March 22, 2021 | Blog | By Alyssa C. Scruggs
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.
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The OASB Annual Report to Congress for Fiscal Year 2020
March 15, 2021 | Blog | By Amanda Mei
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.
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SPAC Chat: Busting Common Myths about SPACs
February 9, 2021 | Podcast | By Thomas Burton, Jeffrey Schultz, Sahir Surmeli
Special Purpose Acquisition Companies (SPACs) are taking over Wall Street as more and more companies are taking advantage of this alternative IPO strategy.
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SEC Amends MD&A and Other Financial Disclosure Rules
February 5, 2021 | Alert | By Daniel T. Kajunski, Amanda Mei
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.
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Preparation for 2020 Fiscal Year-End SEC Filings and 2021 Annual Shareholder Meetings
January 21, 2021 | Advisory | By Megan Gates, John Condon, Daniel T. Kajunski, Anne Bruno
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.
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How Companies Can Prepare for SEC Proxy Advisor Reform
January 12, 2021 | Advisory | By Anne Bruno
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.
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SEC Adopts Rules to Allow the Use of Electronic Signatures
November 19, 2020 | Alert | By Daniel T. Kajunski
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.
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SEC Harmonizes and Improves “Patchwork” Private Offering Framework
November 12, 2020 | Alert
Read about the SEC’s November 2 adoption of amendments designed to harmonize and simplify the complex framework of private offering exemptions.
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