News & Analysis as of

Initial Public Offering

SEC changes filing cover pages, raises thresholds for EGCs and crowdfunding

by DLA Piper on

The SEC has adopted a number of technical amendments to the Jumpstart Our Business Startups Act (the JOBS Act) to conform its existing rules and regulations to the requirements of the JOBS Act and implement statutory...more

Securities Litigation Alert: District Court Says Indirect Purchasers of Shares Can Bring Fraud Claims Against Private Company and...

by Fenwick & West LLP on

In a case with important implications for late-stage private companies, a federal magistrate judge ruled last week that investors in funds holding private company securities can bring fraud claims against the issuer of the...more

NYSE Issues Proposed Rule Allowing Listing Without an IPO

On March 13, 2017, the NYSE issued a proposed rule to modify the provisions regarding the qualification of companies listing on the NYSE to allow for a listing without an IPO. Section 102.01B of the NYSE Listed Company Manual...more

Committee Recommendations for U.S. Public Equity Markets

The Committee on Capital Markets Regulation released a report setting forth certain recommendations that are intended to revive the public equity markets. The report cites certain statistics regarding equity capital markets...more

Food for Thought, part 1

In researching and updating our treatise, Exempt and Hybrid Securities Laws, we regularly review recent literature regarding capital markets developments. The principal underlying thesis of the treatise has been that exempt...more

News Round Up - April 2017

by Morrison & Foerster LLP on

Momentum Builds in the U.S. IPO Market - Renaissance Capital reported a strong start to the year in its U.S. IPO Market 1Q 2017 Quarterly Review. The first quarter of 2017 saw 25 IPOs, which raised $9.9 billion, a jump...more

First Circuit Affirms Dismissal Of Securities Fraud Claims For Failure To Adequately Plead Scienter

by Shearman & Sterling LLP on

On April 7, 2017, the United States Court of Appeals for the First Circuit affirmed the dismissal of a putative securities fraud class action against the biopharmaceutical developer Zafgen, Inc. (“Zafgen”) and its CEO. ...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Navient Corp., facing CFPB allegations that it didn’t live up to its promises of helping its 12 million customers manage their loans, now has a two-faced problem after a recently filed motion to dismiss in which it argued...more

Global IPO Guide - 2017 Edition

by Latham & Watkins LLP on

WorldWide Widgets, a non-US e-commerce company, is considering going public. In addition to offering its locally listed stock to investors outside the United States, WWW would like to sell to investors inside the United...more

In Case You Missed It: Launch Links - March, 2017 #3

by WilmerHale on

Some interesting links we found across the web this week: IPOs Are Cool Again in Startup-Land - IPOs have been a rarity in the startup world in recent years, but signs point to a reversal if this column from...more

Momentum Builds in the U.S. IPO Market

Renaissance Capital reported a strong start to the year in its U.S. IPO Market 1Q 2017 Quarterly Review. The first quarter of 2017 saw 25 IPOs, which raised $9.9 billion, a jump from 1Q 2016’s 8 IPOs raising less than $1...more

A Rudimentary Resource Regarding Registration Rights

In any venture term sheet, an entire page (typically page 3 or 4, after the key terms we have discussed previously) will often be devoted to the concept of registration rights, which ultimately are addressed in an Investors’...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

A group of current and former Citizen Bank branch employees from five states has admitted to fabricating information about the results of the Bank’s much-touted “Citizens Checkup” program (in which real customers are invited...more

SEC Chair Nominee Testifies at Confirmation Hearing

by WilmerHale on

On Thursday, March 23, Jay Clayton, President Trump’s nominee for Chair of the Securities and Exchange Commission, testified before the Senate Banking committee at his confirmation hearing. In both his prepared statement...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Eric Mindich—famous for becoming the youngest-ever Goldman partner at 29—is shuttering his Eton Park Capital Management hedge fund and returning the $7 billion it manages to investors. Viewed along with Pershing Square’s...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

White Collar Watch dates itself considerably with its Perry Mason allusion, but its bigger point is an interesting one–good luck finding a true “gotcha” moment when dealing with what are “quintessentially offenses of the...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The struggle to attract and retain businesses and the jobs they provide has increasingly led to states and cities squaring off against others, with competing tax incentive packages the very real currency of the battle....more

Corporate News - March 2017

by Hogan Lovells on

A new era for the UK's capital markets? FCA publishes proposals to reform the UK's capital markets and IPO process - The FCA has published a package of measures to reshape and enhance the UK's primary markets. These are...more

Blog: SEC Committee Discusses Multi-Class Common

by Cooley LLP on

An interesting topic of discussion at a meeting last week of the SEC’s Investor Advisory Committee was “unequal voting rights of common stock” — the trend over the last decade (plus) for a small number of IPO companies,...more

Financial Conduct Authority Proposes Changes to UK Equity IPO Process

by Shearman & Sterling LLP on

The Financial Conduct Authority launched a consultation on proposed changes to the availability of information in the UK equity IPO process. The consultation follows the discussion paper published by the FCA in April 2016....more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

We now know what all of that law-enforcement activity around Caterpillar HQ in past weeks. A government report out this week reveals that investigators are targeting CAT for tax and accounting fraud, though no charges have...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Index-fund giant State Street is putting gender diversity on corporate boards front and center, announcing this week that it will begin voting against board members charged with nominating new directors if they don’t make an...more

A win for investors? FCA consults on its proposals to improve the availability of information

by Hogan Lovells on

On 1 March 2017, the Financial Conduct Authority (FCA) published a consultation paper: 'Reforming the availability of information in the UK equity IPO process' (CP 17/5) which sets out various proposals to improve the timing,...more

How effective are the UK's primary markets? FCA reviews the effectiveness of the primary markets and proposes technical...

by Hogan Lovells on

Reviewing the structure of the UK's primary markets - The FCA is reviewing the structure of the UK's primary markets to ensure that they continue to meet the needs of investors and issuers. As part of its review, the...more

The Snap IPO: Speculation Without (Board) Representation

by Farrell Fritz, P.C. on

The just completed IPO of Snap Inc. has received enormous buzz and plenty of press coverage, mostly about its eye-popping valuation and offering proceeds, the big winners among the founders and early investors and the...more

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