IPO

Life Science Financing Survey - Full Year 2012

by Barry J. Kramer, Michael J. Patrick, Matthew Rossiter | Fenwick & West LLP on 4/16/2013

In this Survey: - Overview of Fenwick & West Results - Analysis of Industry Data - Detailed Fenwick & West Results: Valuation - Detailed Fenwick & West Results: Financing Terms -...more

E&Y “State Secrets” Case Kicks Off in Hong Kong – But a Long Way to Go

by Joan Hon, Veronica Siwang To | Reed Smith on 4/4/2013

Evidence kicked off last week on March 27-28, in the highly anticipated case brought by Hong Kong's Securities and Futures Commission ("SFC") against Ernst & Young Hong Kong ("E&Y") over its failure to adequately respond to...more

Corporate & Tax E-Note - March 28, 2013

by Edward Brown, Benjamin Coulter, Kevin Doherty, C. Logan Hinkle, Mignon Lunsford, Debra Lee Mackey | Burr & Forman on 4/3/2013

In This Issue: - SEC Yet to Release Jumpstart Our Business Startups Act Guidelines - IRS Crackdown on Contract Workers Has Small Businesses Concerned - Accelerated Filers Found to be Filing More Restatements -...more

Purchase Timing A Wall To Facebook Derivative Litigation Despite Unenforceability Of Forum Selection Clause

by Jim Kramer, Paul Rugani, Alex Talarides | Orrick - Securities Litigation and Regulatory... on 3/26/2013

Four derivative lawsuits against Facebook’s directors relating to alleged disclosure issues surrounding the company’s initial public offering have a new status: Dismissed. Last month, Judge Robert Sweet of the Southern...more

Jaffe Sees 'A Lot' of IPOs in 2013 'Pipeline' [Video]

by Bloomberg Law on 3/26/2013

Mar. 26 (Bloomberg) -- Marc Jaffe, co-chair of the Global Capital Markets Practice Group at Latham & Watkins LLP, talks with Bloomberg Law's Spencer Mazyck about the global outlook for the 2013 IPO market. Jaffe, in this...more

London Stock Exchange to Introduce New High Growth Segment of the Main Market

by Jonathan Angell, Sean Geraghty, Richard O'Brien | Dechert LLP on 2/28/2013

Background - The Department for Business, Innovation and Skills (‘BIS’) announced in September 2012 that it had developed proposals with the London Stock Exchange (the ‘LSE’) to attract high growth companies to list...more

SEC Discloses Data Related To 2012 Complaints

by Ethan Mark | Leonard, Street and Deinard - Dodd-Frank and... on 2/28/2013

The SEC has disclosed data related to complaints in fiscal year 2012. During Fiscal 2012, the SEC’s Office of Investor Education and Advocacy closed 29,291 files relating to complaints, questions, and other contacts received...more

Renewable Energy Update -- February 26, 2013

by William R. Devine, Emily L. Murray, Patrick A. Perry | Allen Matkins Leck Gamble Mallory & Natsis... on 2/27/2013

In This Issue: Renewable Energy Focus - Wind, solar, biomass provide all new US electrical generating capacity in January 2013; Hard session ahead for renewable energy advocates in Texas; Xcel wants to give developers...more

Court Confirms That S. 130 Of The Ontario Securities Act Applies Only To Primary Market Purchasers

by Michael Beeforth | Dentons on 2/22/2013

In the recent decision of Tucci v. Smart Technologies Inc. (2013 ONSC 802), Justice Perell confirmed that the statutory cause of action for misrepresentation in a prospectus (set out in s. 130(1) of the Ontario Securities...more

FINRA Releases Public Offering FAQs

by Kristopher Brown, Christian Matarese | Dechert LLP on 2/15/2013

FINRA, the largest independent regulator for all securities firms doing business in the United States, has released a set of FAQs relating to its review of public securities offerings filed on its Public Offering Filing...more

London Stock Exchange Publishes Draft Rulebook for New Fast-Growth Segment

by Iain Wright | Morgan Lewis on 2/15/2013

Rulebook sets out criteria for admission to the high-growth segment, which has been designed to meet the needs of fast-growing European companies. On 13 February, the London Stock Exchange (LSE) published a draft...more

Market Trends & Legal Developments for Dealmakers - Quarter 4: 2012

by Sheppard Mullin Richter & Hampton LLP on 2/15/2013

In This Issue: -Market Trends -Venture Capital -Private Equity -Initial Public Offerings -Mergers & Acquisitions -Legal Updates -Jobs Act & Capital Markets -Mergers &...more

3D Printing Updates: ExOne IPO, Antitrust, and Nanoscribe

by J. Steven Rutt | Foley & Lardner LLP on 2/11/2013

Some important 3D printing updates, including micro- and nanoscale printing. First, the ExOne IPO had an early surge according to press reports. ExOne is located in North Huntingdon, PA....more

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

by Morgan Lewis on 2/6/2013

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during...more

The JOBS Act: What We Learned in the First Nine Months

by Skadden, Arps, Slate, Meagher & Flom LLP on 1/31/2013

Nine months have passed since the Jumpstart Our Business Startups Act (the JOBS Act), a package of legislative measures intended to ease regulatory burdens on smaller companies and facilitate public and private capital...more

Skadden's 2013 Insights: Capital Markets

by Skadden, Arps, Slate, Meagher & Flom LLP on 1/21/2013

2012 was a robust year for both the U.S. leveraged loan and high-yield markets, including record-breaking deal volume for the latter. These conditions provided fertile ground for borrowers and issuers in U.S. markets to fund...more

Considerations for Placing Private Equity Sponsor Representatives on Public Portfolio Company Board Committees

by Ropes & Gray LLP on 1/21/2013

Many private equity sponsors have been or are considering undertaking an initial public offering of a portfolio company. In negotiating stockholder arrangements and committee assignments for their director representatives...more

2012 Capital Markets Review

2012 Capital Markets Review - Our Capital Markets Review is well established as one of Osler’s most popular publications. It contains our analysis of events that have affected the Canadian capital markets during the past...more

SEC Probe of Netflix Highlights Legal Risks of Social Media

by David W. Braswell, Jeffrey Schultz, Joseph S. von Kaenel | Armstrong Teasdale LLP on 12/21/2012

The U.S. regulatory probe of a Facebook posting by Netflix CEO Reed Hastings is raising questions about whether the 43-word message violates a rule requiring that material information be released to all investors at the same...more

Private Equity Newsletter - Fall/Winter 2012: Recent Developments in Acquisition Finance

by Jeffrey M. Katz, Scott M. Zimmerman | Dechert LLP on 12/20/2012

Certain recent legal developments will likely impact acquisition finance. This article will survey some of the more notable ones. We discussed in the last newsletter the Eleventh Circuit Court of Appeals’ decision in...more

Consultation Conclusions on the Regulation of Hong Kong IPO Sponsors – The Top Five Things You Need to Know

by Stephen Birkett, John Moore | Morrison & Foerster LLP on 12/13/2012

On December 12, 2012, the Securities and Futures Commission (SFC) published its eagerly anticipated consultation conclusions concerning the regulation of IPO sponsors (the “Consultation Conclusions”). While a more detailed...more

Securities Offerings and Gun Jumping: What You Can and Cannot Do

by Skadden, Arps, Slate, Meagher & Flom LLP on 11/30/2012

Overview - The Securities and Exchange Commission (SEC) imposes restrictions on communications when a securities offering is contemplated or in process. Generally, these communications restrictions are intended to...more

Startups, Accelerated

by MoFo Tech on 11/13/2012

Capital is the lifeblood of a growing tech company, and today access to that capital in the U.S. is improving thanks to recent regulatory and legislative initiatives. Growing tech companies now have an array of new...more

SEC Approves FINRA Amendments to Implement JOBS Act Changes Regarding Research Quiet Periods and Analyst Participation in Pitch...

by Skadden, Arps, Slate, Meagher & Flom LLP on 11/1/2012

On October 17, 2012, the SEC approved changes to NASD Rule 2711, as administered by the Financial Industry Regulatory Authority (FINRA), and NYSE Rule 472, to bring both rules into compliance with the JOBS Act mandate to...more

FINRA Proposes Rule Changes in Connection with JOBS Act

by Eric S. Almon | Holland & Knight LLP on 10/22/2012

The Financial Industry Regulatory Authority, Inc. (FINRA) (f/k/a National Association of Securities Dealers, Inc. (NASD)) filed with the SEC proposed rule changes intended to conform to certain requirements of the JOBS Act,...more

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Life Science Financing Survey - Full Year 2012

E&Y “State Secrets” Case Kicks Off in Hong Kong – But a Long Way to Go

Corporate & Tax E-Note - March 28, 2013

Purchase Timing A Wall To Facebook Derivative Litigation Despite Unenforceability Of Forum Selection Clause

Jaffe Sees 'A Lot' of IPOs in 2013 'Pipeline' [Video]

London Stock Exchange to Introduce New High Growth Segment of the Main Market

SEC Discloses Data Related To 2012 Complaints

Renewable Energy Update -- February 26, 2013

Court Confirms That S. 130 Of The Ontario Securities Act Applies Only To Primary Market Purchasers

FINRA Releases Public Offering FAQs

London Stock Exchange Publishes Draft Rulebook for New Fast-Growth Segment

Market Trends & Legal Developments for Dealmakers - Quarter 4: 2012

3D Printing Updates: ExOne IPO, Antitrust, and Nanoscribe

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

The JOBS Act: What We Learned in the First Nine Months

Skadden's 2013 Insights: Capital Markets

Considerations for Placing Private Equity Sponsor Representatives on Public Portfolio Company Board Committees

2012 Capital Markets Review

SEC Probe of Netflix Highlights Legal Risks of Social Media

Private Equity Newsletter - Fall/Winter 2012: Recent Developments in Acquisition Finance

Consultation Conclusions on the Regulation of Hong Kong IPO Sponsors – The Top Five Things You Need to Know

Securities Offerings and Gun Jumping: What You Can and Cannot Do

Startups, Accelerated

SEC Approves FINRA Amendments to Implement JOBS Act Changes Regarding Research Quiet Periods and Analyst Participation in Pitch...

FINRA Proposes Rule Changes in Connection with JOBS Act

Jaffe Sees 'A Lot' of IPOs in 2013 'Pipeline' [Video]

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