News & Analysis as of September 22, 2024

Initial Public Offering (IPO)

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Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk... more +

Follow this channel for advisories on one of the biggest threats to businesses today. Read a morning brief of fresh guidance and commentary by leading lawyers on security, privacy, risk management, global regulations, data protection, leaks, hacking, cyber insurance, compliance, HIPAA, and every other aspect of cybersecurity of import to corporate readers right now. less -

The Download: Do I need to make money to go public?

Orrick, Herrington & Sutcliffe LLP on 8/7/2024

01 Do I need to make money to go public?02 A new M&A playbook in the age of AI03 Cyber enforcement forecast post-SolarWinds decision04 Cyber diligence for IPOs with Kroll’s CISO05 The Download Quiz: Venture capital trends...more

[Webinar] D&O Insurance Trends: Looking Ahead to 2025 - September 17th, 10:00 am - 11:00 am PT

Woodruff Sawyer on 8/6/2024

The streak of good news in D&O litigation risk ends this year, with a rise in class action filings and bigger settlements. But the D&O market is still soft, so staying on top of the evolving risk landscape will help you...more

Broker Dealer Regulatory Digest - December 2024

Davis Wright Tremaine LLP on 12/15/2023

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Broker Dealer Regulatory Digest - October 2023

Davis Wright Tremaine LLP on 12/2/2023

Editor's Note - The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency,...more

The SEC’s Charges Against SolarWinds and its Chief Information Security Officer Provide Important Cybersecurity Lessons for Public...

White & Case LLP on 11/15/2023

On October 30, 2023, the US Securities and Exchange Commission ("SEC") announced that it filed charges against SolarWinds Corp. ("SolarWinds" or the "Company") and its Chief Information Security Officer ("CISO") in connection...more

Securities Class Action Trend Cases

Cornerstone Research on 7/26/2023

From SPACs to COVID-19, several trends have appeared in core filing activity in recent years. The data below is from Securities Class Action Filings—2023 Midyear Assessment....more

SEC Commissioner Uyeda Suggests that ESG Disclosures Contribute to Decline in IPOs

Mintz on 3/16/2023

In a recent lecture delivered at Columbia Law School/Business School at the "Going Public in the 2020s" conference, SEC Commissioner Uyeda bemoaned "the general decline in the number of public companies over the past...more

2022 Securities Litigation Year in Review

Jones Day on 2/8/2023

During 2022, securities case filings fell for the fourth consecutive year and were down slightly from 2021. The number of announced settlements rose substantially last year, as did total settlement amounts. The 2022...more

Inside the Courts – An Update From Skadden Securities Litigators - December 2022

Skadden, Arps, Slate, Meagher & Flom LLP on 12/5/2022

Cornerstone Research reports that during the first six months of 2022, plaintiffs filed 110 securities class actions, a pace that is generally in line — 2.8% higher — with what we saw in the second half of 2021. Looking...more

In Case You Missed It: Launch Links - September 2021

WilmerHale on 9/10/2021

Some interesting links we found across the web this week: Should Your Company Implement a Vaccination Mandate? As the Biden administration announced the new federal vaccine requirements on Thursday, an increasing...more

Blog: Early SEC Enforcement Trends from Chairman Gary Gensler’s First 100 Days

Cooley LLP on 7/29/2021

Gary Gensler was sworn in as chair of the Securities and Exchange Commission on April 17, 2021. Chairman Gensler has promised to strengthen transparency and accountability in the financial markets. Under Chairman Gensler, we...more

Financial Daily Dose 12.9.2020 | Top Story: DoorDash Makes Public Trading Debut North of $100/share

Robins Kaplan LLP on 12/9/2020

DoorDash is entering the public markets fray today with hopes of “cash[ing] in on the frenzy in initial public offerings” of late. The food-delivery company is expected to price shares “at the high end of or above its...more

Cyber Still Atop Exam Priorities

Burr & Forman on 2/27/2020

FINRA held its bi-annual Cybersecurity Conference in January and recently published five take-away real-world experiences from the conference...more

Alert: 25 Considerations in Preparing for an IPO

Cooley LLP on 11/1/2019

1. Experienced advisors - Choose experienced advisors, including lawyers, auditors and financial consultants (if necessary), and get them involved early. Advisors who work routinely with the SEC and investment bankers –...more

Blog: 25 Considerations in Preparing for an IPO – for Technology Companies

Cooley LLP on 8/2/2019

1. Experienced advisors - Choose experienced advisors, including lawyers, auditors and financial consultants (if necessary), and get them involved early. ...more

Skadden's 2019 Insights: SEC Continues Steady Progress With Regulatory, Enforcement Goals

Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2019

As the Securities and Exchange Commission (SEC) enters the third year of the Trump administration, its regulatory and enforcement goals remain largely unchanged. At the direction of Chairman Jay Clayton, the SEC continues to...more

Your Daily Dose of Financial News

Robins Kaplan LLP on 8/16/2018

Today’s Muskdate is all about the SEC issuing a subpoena to Tesla as it continues its investigation into Elon’s August 7 Twitter post about the “funding secured” detail of his plans to take the company private....more

2018 IPO Report

WilmerHale on 7/27/2018

The IPO market produced 142 IPOs in 2017, a total that was 45% higher than the 98 IPOs in 2016 and just shy of the 152 IPOs in 2015, but still lower than the annual average of 155 IPOs over the five-year period from 2011 to...more

The Top Ten Regulatory and Litigation Risks for Private Funds in 2018

Proskauer - The Capital Commitment on 2/13/2018

With the public equity markets at an all-time high and private equity fund raising setting new records, it might seem counter-intuitive to forecast litigation and regulatory risks. The opposite is true. Disputes typically...more

Priorities Begin to Emerge for Trump’s SEC

Skadden, Arps, Slate, Meagher & Flom LLP on 1/25/2018

The actions that Securities and Exchange Commission (SEC) Chairman Jay Clayton has taken since the start of his tenure in May 2017 provide an indication of SEC priorities, including encouraging initial public offerings (IPOs)...more

Blog: In Senate Testimony, SEC Chair Offers Insights Into His Thinking On A Variety Of Issues Before The SEC

Cooley LLP on 10/3/2017

In testimony last week before the Senate Committee on Banking, Housing and Urban Affairs, SEC Chair Jay Clayton gave us some insight into his thinking about a number of issues, including cybersecurity at the SEC,...more

Assessing cybersecurity risks and protecting consumer data before filing for an IPO in the age of the Internet of Things

Robinson & Cole LLP on 6/2/2015

In May of this year, Fitbit Inc. (Fitbit) filed for an Initial Public Offering (IPO) for upwards of $100 million. With more and more consumers using wearable devices, privacy concerns have skyrocketed. However, since 2011,...more

Fitbit Files for IPO: Cybersecurity Risk Disclosure

Mintz - Privacy & Cybersecurity Viewpoints on 5/11/2015

Fitbit, the fitness-tracking company with six wearable devices that track and collect data about things like calories burned, steps logged, “quality” of sleep and sleep patterns, heart rate, etc.) as well as web and mobile...more

2014 SEC and FINRA Enforcement Actions Against Broker-Dealers and Investment Advisers

K&L Gates LLP on 12/3/2014

The sheer number of enforcement actions brought against broker-dealers and investment advisers makes it challenging to keep up. In this alert, we divide this year’s most important cases against broker-dealers and investment...more

In Case You Missed It - Interesting Items for Corporate Counsel

Stoel Rives LLP on 4/11/2014

The Director of the SEC’s Division of Corporation Finance, Keith Higgins, recently gave the keynote address, here, at the 2014 Angel Capital Association Summit. He focused on the following three items on the SEC rulemaking...more

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Cybersecurity › Securities and Exchange Commission (SEC) › Initial Public Offering (IPO)

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