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It is difficult for publicly-traded issuers to solve the problems associated with outstanding stock options that are "underwater" (i.e., underwater because the exercise price of the stock option...

Last Friday, President Obama signed into law the Highway Transportation Bill, otherwise known as the FAST Act.

Gross proceeds in 2015 were $25.17 billion, the third lowest annual total over the last ten years, and almost two-thirds below the $74.39 billion raised by IPO companies in 2014.

FINRA has been engaged in a "stealth sweep" of firms' untimely deliveries of mutual fund and ETF prospectuses that has resulted in formal disciplinary proceedings against twelve firms since 2011.

On May 23, 2007 the Securities and Exchange Commission proposed a series of six measures to modernize and improve its capital raising and reporting requirements for smaller companies.

On August 29, 2012 the SEC proposed a rule that will allow for general solicitation in private securities offerings.

On December 10, 2012, the Federal Deposit Insurance Corporation ("FDIC") and the Bank of England released a white paper, Resolving Globally Active, Systemically Important, Financial Institutions, describing how each would resolve a materially distressed or failing financial institution that is globally active and systemically important ("G-SIFI") in order to maintain the G-SIFI’s ongoing and viable operations, and contain any threats to financial stability.

As the impact of the JOBS Act begins to sink in, several issues have begun to emerge relating to Title I - Reopening American Capital Markets to Emerging Growth Companies, commonly referred to as the "IPO On-Ramp."

The Securities and Exchange Commission has approved Nasdaq's amendment to raise the minimum share price requirement for initial listings on The Nasdaq Capital Market from as low as $2.00 to a uniform $4.00. This change eliminates alternative pricing criteria based on assets, income, or revenue history, and introduces a public monitoring list for grandfathered companies that fall below compliance thresholds.

On December 1, 2020, Nasdaq submitted to the SEC a rule filing to adopt listing rules related to board diversity.

The Securities and Exchange Commission on June 28, 2018 proposed a long-anticipated rule that would allow most exchange-traded funds (ETFs) ...

The SEC recently offered interpretive guidance to underwriters with respect to the allocation of securities and prohibited conduct under Regulation M, particularly with respect to IPO allocations. The release is a reminder that certain conduct that causes or is likely to cause an undertaking, promise, commitment or understanding on the part of a customer to make aftermarket bids or purchases of an offered security, in relation to an expected allocation of shares in an offering, is impermissible

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the "JOBS Act"), easing some significant regulatory restraints on capital formation.

A review of the Prospectus Directive was launched by the European Commission on 18 February 2015.

During the first four months of 2025, at least eight companies listed on the Singapore Exchange (SGX) announced potential delisting and at least 11 SGX-listed companies...

In August 2021, the SEC approved a Nasdaq proposal for new listing rules regarding board diversity and disclosure, accompanied by a proposal to provide free access to a board recruiting service.