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COVID-19 Viewpoints

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Disclosure Considerations Regarding Operations, Liquidity, and Capital Resources

July 21, 2020 | Advisory | By Anne Bruno, Ginny H. Lee

This advisory discusses the SEC’s recent guidance on operations, liquidity, and capital resources disclosure that companies should consider in light of the COVID-19 pandemic.
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This advisory summarizes recent proxy advisor guidance on and strategies for adjusting annual performance goals in light of the COVID-19 pandemic.
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This advisory discusses regulatory and investment community developments related to human capital management and provides suggestions for companies newly focused on HCM.
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Coronavirus Molecule
On May 14, 2020, the Securities and Exchange Commission (“SEC”) approved changes to the NYSE Listed Company Manual to provide a temporary exception to the shareholder approval rules for certain capital raising transactions as a result of the coronavirus (“COVID-19”) pandemic.
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Read about the SEC’s approved changes affecting shareholder approval rules for certain capital raising transactions.
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Read about the SEC’s FAQs, released on May 4, 2020, providing guidance on the agency’s COVID-19 order giving certain issuers more time to file disclosure reports.
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This advisory reviews the SEC Division of Corporation Finance’s statement of April 23, 2020, including what forms it covers and how filers can submit typed signatures on documents submitted by email.
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This advisory covers the SEC’s April 21, 2020 approval to allow NYSE-listed companies to regain compliance with stockholders equity/market capitalization and minimum price continued listing standards by tolling applicable compliance periods through June 30, 2020 due to COVID-19.
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This article covers SEC changes, made in response to the COVID-19 pandemic, that give Nasdaq listed companies additional time to regain compliance with certain continued listing requirements regarding the bid price and market value of publicly held shares. Nasdaq Temporarily Extends Compliance Periods for Certain Continued Listing Requirements as a Result of Coronavirus (COVID-19)
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In its online forum regarding COVID-19/Coronavirus, FINRA stated that a loan received pursuant to the Paycheck Protection Program (PPP) does not necessarily trigger a disclosure on the Form U-4
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Read about the temporary suspension of NYSE's $15 million minimum market capitalization requirement and shareholder approval rules for certain capital raising transactions.
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Read about SEC C&DIs that provide guidance on its COVID-19 Order, which gives certain issuers relief from deadlines as a result of the coronavirus pandemic.
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Read about Massachusetts Governor Baker’s executive order that temporarily permits Mass. Public Companies to Hold Virtual-Only Shareholder Meetings.
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Material Non-Public Information in the Time of COVID-19: SEC Warning on Insider Trading

March 30, 2020 | Blog | By Pete Michaels, Michael Pastore

On March 23, 2020 the SEC issued a statement warning about the risks of insider trading posed by the COVID-19 pandemic.
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Read about the SEC's new Guidance on Manual Signatures Required under Rule 302(b) of Regulation S-T as a Result of Coronavirus (COVID-19).
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Read about the SEC’s extension of conditional relief from filing deadlines and mailing obligations as a result of COVID-19 to July 1, 2020.
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Disclosure Guidance for Public Companies Affected By COVID-19

March 26, 2020 | Advisory | By Anne Bruno

Read about the SEC’s guidance on disclosures, including those related to COVID-19 and financial reporting issues, as well as on securities trading in light of the pandemic.
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This alert covers Governor Cuomo’s executive order allowing corporations in New York to hold virtual-only shareholders meetings in light of COVID-19.
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