492 results found

Many market participants were left in a quandary following FINRA enforcement actions in connection with member firm research analyst "participation" in meetings with prospective issuers.

The SEC is proposing rules for comment that will impose a number of investor protection measures in connection with Rule 506(c) offerings.

On 11 December 2017, SEC Chairman Jay Clayton released a statement on cryptocurrencies and ICOs as a warning to potential investors to beware of scams and criminal activity in the sector.

For initial public offerings, particularly those of technology companies, the second half of 2015 got off to a slow start and the pace has continued to be sluggish into December.

In this quarter’s Cleantech Law Alert from CleanEdge, Sahir Surmeli takes a deep look at the Initial Public Offering statistics for Cleantech and Renewable companies in 2014.

An academic study titled "The JOBS Act and IPO volume..." provides an interesting analysis of the effect of the JOBS Act on IPO activity.

Last week, BDO USA released its 2015 IPO Halftime Report which surveyed capital markets executives from various investment banks on IPO activity and trends for 2015.

At an open meeting on March 25, 2015, the SEC adopted final rules to facilitate smaller companies’ access to capital via update and expansion of Regulation A, summarized in this press release.

FINRA has filed with the SEC a proposed rule change to amend FINRA’s rules relating to research in order to bring them in line with the JOBS Act and the SEC Staff’s FAQs addressing research.

HR 4638, the Main Street Growth Act, which allows for the registration and creation of venture exchanges in order to facilitate a secondary market, including for companies that have undertaken Regulation A offerings.

In two programs focusing on the JOBS Act, Anna Pinedo and David Lynn of Morrison & Foerster share their expertise to help course attendees gain a greater understanding of the JOBS Act and its implications for different types of companies.

PwC recently released a study on the effect of disclosing material weaknesses (MWs) during an issuer's initial public offering.

Recently, the Securities and Exchange Commission rejected the proposal by the New York Stock Exchange to allow for primary sales of stock by companies going public using direct listings.

Welcome to the Q4 2014 issue of Orrick Technology IPO Insights, a quarterly publication highlighting trends in U.S. information technology company IPOs.

According to Renaissance Capital's 2015 Annual Review of the Global IPO Market, a total of 310 IPOs were completed in 2015 raising $156.5 billion in proceeds.

The Securities and Exchange Commission recently approved implementing rules under Title II of the Jumpstart Our Business Startups Act to remove the ban on general solicitation for offerings to accredited investors under Regulation D, Rule 506.

Renaissance Capital has released its 3Q 2016 Quarterly Review of the US IPO Market. The review reports an improved third quarter with 33 deals completed, raising approximately $6.1 billion.