492 results found

Last week, members of Congress sent letters to the Securities and Exchange Commission, encouraging them to reconsider rules related to the initial public offering.

If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over. Five federal regulators—The Financial Crimes Enforcement Network of the US Treasury Department ...

For the first time in a decade, the Securities and Exchange Commission has proposed changes to its regulations governing public resales of unregistered securities under Rule 144, with correlative changes to Rule 145, under the Securities Act of 1933.

This whitepaper is to serve as a useful overview of the process and material considerations that arise when companies conduct an initial public offering of securities.

Shipping companies continued to access the U.S. public equity market to raise capital at a robust pace in 2010.

This issue’s column provides updates on issues pertaining to the ever-popular Rule 506 offerings and investment advisers.

The NYSE and NASDAQ have recently finalized changes to their listing standards addressing compensation committee independence and committee responsibilities.

Special Purpose Acquisition Companies face a critical financing bottleneck in 2026, with high redemption rates draining trust accounts and traditional PIPE investors largely absent from the market. While both SPACs and target companies remain plentiful, the scarcity of committed capital at closing has forced sponsors to engineer creative financing solutions, from non-redemption agreements to post-listing equity lines, fundamentally reshaping how de-SPAC transactions get structured and completed.

We analyzed the terms of 150 venture financings closed in the fourth quarter of 2014 by companies headquartered in Silicon Valley.

On April 5, 2012, the President signed the Jumpstart Our Business Startups Act (the "JOBS Act" or the "Act") which made significant changes to the public offering process to encourage "emerging growth companies."

On July 1, 2015, the US Securities and Exchange Commission (SEC) issued a long-awaited release (Proposing Release) proposing rules that would direct the national securities exchanges to establish listing standards...

New Securities and Exchange Commission Rule 506(d), which is set to take effect September 23, 2013, disqualifies securities offerings from reliance on the private placement exemption of Rule 506 of the Securities Act of 1933, as amended, if certain felons and other "bad actors" are involved in the offering.

The European Securities and Markets Authority finally published its views on the regulation of structured products on 7 February 2014,

Regulation M is intended to prevent potentially manipulative practices by underwriters, issuers, selling security holders and other participants in securities offerings.

We are delighted to publish a new issue of Fried Frank PEP Talk®, our newsletter for private equity professionals. As the financial markets continue to recover and the pace of deal activity increases, we believe it is an ideal time to address current issues that affect private equity funds and transactions.

The IPO market continued to rebound throughout 2010, producing 142 IPOs. The year’s total was almost triple the tally of 54 IPOs in 2009, which itself represented a significant step up from the paltry output of 31 IPOs in 2008— the lowest annual count since 1975.

The U.S. Securities and Exchange Commission issued a series of three releases that address the provisions of the Jumpstart Our Business Startups Act relating to general solicitation and general advertising in certain private offerings and provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the disqualification of bad actors from Rule 506 offerings.

For Nasdaq-listed issuers without a formal compensation committee or compensation committee charter, consider how to put these items in place.