News & Analysis as of

Corporate Financing

In Conversation with…GBite Oduneye, founder of Nigerian Capital Markets Forum

by Hogan Lovells on

(a) You have been working in the Nigerian Capital Markets space for about 11 years now - what would you say has kept you attracted to the Market? My mother introduced me to Capital Markets at a very young age. She strongly...more

SEC Updates Financial Reporting Manual

On August 25, 2016, the SEC’s Division of Corporation Finance (“Corp Fin”) updated its Financial Reporting Manual by making the following changes...more

SEC Staff Guidance on Financial Information in Registration Statements

The Staff of the Division of Corporation Finance recently posted additional guidance regarding the financial information that an EGC may omit from its draft registration statements, as well as guidance for non-EGC issuers. ...more

The Entrepreneurs Report - H1 2017

From the WSGR Database: Financing Trends for 1H 2017 - Strong median pre-money valuations for all rounds of financing ushered in nearly unprecedented median amounts raised in 1H 2017, particularly for Series C and later...more

Refrigeration Systems Targeted: Risk Management Plans and Release Reporting

by Williams Mullen on

Companies operating ammonia refrigeration systems are easy targets for EPA under a number of environmental programs. Recent history suggests release reporting under Section 112(r) of the Clean Air Act (CAA) and under the...more

SEC Staff issues FAQs on Confidential Submissions

The Staff of the Division of Corporation Finance has published these Frequently Asked Questions to assist issuers that are not emerging growth companies that would like to avail themselves of the confidential submission...more

FDN Offers New Funding Line

by Dentons on

The Financiera de Desarrollo Nacional (FDN) has structured alternative ways of funding projects in Colombia to enable foreign financial entities to provide financing in Colombian pesos (COP)....more

Sustainable Loans - Breaking the Mould for Sustainable Investment

by Latham & Watkins LLP on

Royal Philips, a health technology company, has recently agreed to an innovative revolving credit facility agreement with a margin linked to the company’s year-on-year sustainability performance improvement. The agreement was...more

Finding A Way Through A Tight Deal Space

by WilmerHale on

Last year’s contentious U.S. presidential election is often blamed for the slowdown in dealmaking activity in the life sciences space. While the uncertainty surrounding that contest certainly had an impact, Stuart Falber and...more

The Entrepreneurs Report - Q1 2017

From the WSGR Database: Financing Trends for Q1 2017 - Up and Down Rounds by Quarter - Strong median pre-money valuations for late-stage financings accompanied a record-breaking $25.0 million median amount raised for...more

FINRA Announces Proposed Amendments to Modernize Corporate Financing Rule

The Financial Industry Regulatory Authority, Inc. (FINRA) has proposed the first major overhaul since 2004 of its rule regulating public offerings, titled “Regulatory Notice 17-15”....more

With Proposed Amendments to Rule 5110, FINRA Looks to Modernize Corporate Finance Regulation

by Latham & Watkins LLP on

The proposal represents a major step in what promises to be a full-scale overhaul of FINRA’s Capital Formation Rules - On April 12, 2017, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory...more

European Securities and Markets Authority Publishes Final Secondary Measures for Reporting of Securities Financing Transactions

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a report and final draft Implementing and Regulatory Technical Standards for the Securities Financing Transactions Regulation. The majority of the SFTR came into...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 4

FINRA’s Proposed Amendments to the Corporate Financing Rules – Impact on Structured Notes - In April 2017, FINRA released a set of significant proposed amendments to its Rule 5110, known as the “Corporate Financing Rule.” ...more

2017 Venture Capital Report

by WilmerHale on

Following record levels of financing activity and proceeds in 2014 and 2015, the venture capital market cooled in 2016, with a decrease in the number of financings and a sharp contraction in valuations. Despite the decline in...more

FINRA Proposes Broad Range of Amendments to Corporate Financing Rule

by Shearman & Sterling LLP on

On April 12, 2017, the US Financial Industry Regulatory Authority, Inc. (“FINRA”) published proposed amendments to FINRA Rule 5110, which regulates the terms and arrangements of securities underwriting conducted by FINRA...more

SEC Issues New C&DI on Intrastate Offerings under New Rule 147A

On April 19, 2017, the staff of the SEC’s Division of Corporation Finance issued a new compliance and disclosure interpretation (“C&DI”) addressing intrastate offerings pursuant to new Securities Act Rule 147A. The C&DI...more

Hail, Hail Freedonia: Frequently Asked Questions About SEC Registration on Schedule B by Foreign Governments

by Latham & Watkins LLP on

Non-US sovereigns can take advantage of a streamlined registration process to obtain financing in the US capital markets. Key Points: ..SEC registration offers certain advantages that non-US sovereign issuers...more

The Growth of European Covenant Lite

by Latham & Watkins LLP on

In 2016, global sponsors and their advisers were successful in continuing to export their experiences from financing transactions in the US leveraged loan and global bond markets to the European leveraged loan market, and...more

The SEC and the Conflict Minerals Rule: What You Need to Know about the Latest Developments

It is clear that Michael Piwowar, Acting Chairman of the Securities Exchange Commission (“SEC”) is not a fan of the conflict minerals rule. Earlier this month, the Acting Chairman and the Division of Corporation Finance...more

Financial Services Weekly News - April 2017 #3

by Goodwin on

Editor's Note - Cross River Bank Takes on Colorado in True Lender Action. This past January, the Administrator of Colorado’s Uniform Consumer Credit Code filed a court action against Marlette Funding LLC (Marlette),...more

Know Your Limits: Understanding Your Term Sheet’s Exclusivity Provision

by WilmerHale on

Hollywood’s exclusive parties include only the hottest A-listers. Exclusive sales are advertised only to a boutique’s biggest spenders. The startup world has its own take on exclusivity: Investors and buyers routinely insert...more

Bond Issues

by White & Case LLP on

France’s draft Ordinance and Decree of 30 January 2017 for improving the development of French law-governed bond issues The capital markets’ share of corporate financing, and of the economy in general, is growing year on...more

European Securities and Markets Authority Publishes Research Report on EU Securities Financing Transactions and Haircuts

by Shearman & Sterling LLP on

The European Securities and Markets Authority has published a research Report on securities financing transactions in the European Union and the use of collateral haircuts by firms. The purpose of ESMA's research is to...more

Practice Pointers: Anticipating and Addressing SEC Comments on Non-GAAP Financial Measures - February 2017

by Morrison & Foerster LLP on

The use of non-GAAP financial measures by public companies continues to be an area of growing concern for the Securities and Exchange Commission (“SEC”). Since the staff of the SEC’s Division of Corporation Finance (the...more

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