492 results found

New rules enhance IPO accommodations under the JOBS Act and provide private resale exemption.

On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups, or "JOBS," Act (H.R. 3606), which is designed to streamline or eliminate the regulatory and legal barriers many emerging companies currently face when attempting to raise capital.

As addressed in our prior client memo, the "Holding Foreign Insiders Accountable Act" (the "HFIAA"), which was enacted on December 18, 2025 as part of the National Defense Authorization Act for Fiscal Year 2026, requires the directors and officers of foreign private issuers ("FPIs") to make filings under Section 16(a) of the U.S. Securities Exchange Act of 1934, as amended (the "Exchange Act").

The SEC has proposed sweeping reforms that would fundamentally reshape the public company regulatory landscape by simplifying filer categories from four to two, raising key thresholds, and dramatically expanding...

The Division of Corporation Finance of the Securities and Exchange Commission (SEC) recently announced further changes to its policy relating to non-public review of registration statements of foreign issuers.

Nasdaq recently published guidance about when Nasdaq-listed issuers should issue material news releases around the regular market close at 4:00 p.m. Eastern Time (ET).

The Texas Stock Exchange is preparing to launch in July 2026, introducing a new fully electronic trading venue backed by major financial institutions including BlackRock, Citadel Securities, and J.P. Morgan. While this expansion offers companies additional strategic options for going public, the fundamental requirements for IPO readiness—including SEC reporting, PCAOB audits, SOX compliance, and robust financial controls—remain unchanged regardless of listing venue choice.

On May 10, 2006, the SEC announced that it had filed a civil injunctive action against Morgan Stanley & Co. for allegedly failing to produce emails and electronic records in a timely manner during the course of two separate SEC investigations, and that Morgan Stanley had agreed to settle the matter. The action arose from Morgan Stanley’s electronic document preservation and production practices during SEC investigations into the company’s practices in allocating IPO shares and into possible con

On December 4, 2015, President Obama signed into law the Fixing America's Surface Transportation Act, or FAST Act.

The high-profile public market debuts of tech unicorns Spotify and Slack are encouraging many late-stage, venture-backed technology companies to consider whether a direct ...

The ‘Jewel in the Crown' of London's markets, AIM has been a central feature of UK capital markets for the last 30 years providing growing companies...

The pace of the IPO market increased in May with 21 IPOs—well above the eight in May 2012, and the largest number for the month of May since the lofty 29 in May 2007.

The Staff of the Securities and Exchange Commission’s Division of Corporation Finance has issued responses to Frequently Asked Questions about the Jumpstart Our Business Startups Act (JOBS Act).

On September 25, 2012, the Nasdaq Stock Market issued proposed listing standards regarding compensation committees and their advisers, as called for by new SEC Rule 10C-1 under the Securities Exchange Act of 1934, which in turn was mandated by the Dodd-Frank Act.

The New York Stock Exchange and the NASDAQ Stock Market proposed rule changes to their respective listing standards affecting public company boards of directors.

The Securities and Exchange Commission voted unanimously to propose significant new reforms for money market funds primarily in response to the risk of runs on MMFs during times of economic stress.