IPO, SEC | JD Supra Law News

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

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

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

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

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

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

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

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

More SEC Guidance on Title I of the JOBS Act

by Morrison & Foerster LLP on 10/10/2012

The Staff of the Division of Corporation Finance of the U.S. Securities and Exchange Commission (the “SEC”) recently updated its Frequently Asked Questions on Title I of the Jumpstart Our Business Startups Act (“JOBS Act”) to...more

Legal Update - June 2012: The JOBS Act: Sure, It’s a Catchy Name, But Will It Boost Capital Formation and Create New Jobs?

by Trenam Kemker on 6/5/2012

On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (the “JOBS Act”). The full formal name for the legislation: “An Act to increase American job creation and economic growth by improving...more

Current SEC Guidance for “Emerging Growth Companies” Seeking to Take Advantage of JOBS Act

by Davis Wright Tremaine LLP on 5/30/2012

The Jumpstart Our Business Startups Act (the “JOBS Act”) became law in April with a goal of improving access to capital markets and easing compliance burdens for newer and smaller public companies. Among other things, the...more

JOBS Act Gives Confidential Review Option for U.S. Emerging Growth Company IPOs

by Pillsbury Winthrop Shaw Pittman LLP on 4/30/2012

New guidance outlines key rules for the new confidential review option for initial public offerings by emerging growth companies in the United States. The Jumpstart Our Business Startups Act (also known as the JOBS...more

JOBS Act Eases IPO Process and Public Reporting Requirements for Emerging Growth Companies April 27, 2012

by Foley Hoag LLP on 4/27/2012

On April 5, 2012, the JOBS Act was signed into law, culminating a bipartisan effort by Congress to ease restrictions on capital raising that have affected and guided companies and investors for decades. The JOBS Act is...more

The Facebook IPO and Disclosure of Cybersecurity and Privacy Risks: Tips and Lessons for Practitioners

by Mintz Levin - Privacy & Security on 4/24/2012

Originally published by Bloomberg Finance L.P. in the Vol.6, No. 12 edition of the Bloomberg Law Reports—Securities Law. The Facebook, Inc. (Facebook) initial public offering last month was probably the most...more

JOBS Act to Ease Capital Formation for Public and Private Companies and Reduce Regulatory Burdens on Emerging Growth Companies...

by Mintz Levin - Corporate & Securities on 4/6/2012

On April 5, 2012, after overwhelming bi-partisan support in Congress but criticism from regulators and investor protection groups, President Obama signed into law the Jumpstart Our Business Startups Act (the JOBS Act). The...more

JOBS Act to Ease Capital Formation for Public and Private Companies and Reduce Regulatory Burdens on Emerging Growth Companies...

by Mintz Levin - Corporate & Securities on 4/6/2012

On April 5, 2012, after overwhelming bi-partisan support in Congress but criticism from regulators and investor protection groups, President Obama signed into law the Jumpstart Our Business Startups Act (the JOBS Act). The...more

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IPO › Securities & Exchange Commission

Corporate & Tax E-Note - March 28, 2013

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

SEC Discloses Data Related To 2012 Complaints

FINRA Releases Public Offering FAQs

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

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

SEC Probe of Netflix Highlights Legal Risks of Social Media

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

More SEC Guidance on Title I of the JOBS Act

Legal Update - June 2012: The JOBS Act: Sure, It’s a Catchy Name, But Will It Boost Capital Formation and Create New Jobs?

Current SEC Guidance for “Emerging Growth Companies” Seeking to Take Advantage of JOBS Act

JOBS Act Gives Confidential Review Option for U.S. Emerging Growth Company IPOs

JOBS Act Eases IPO Process and Public Reporting Requirements for Emerging Growth Companies April 27, 2012

The Facebook IPO and Disclosure of Cybersecurity and Privacy Risks: Tips and Lessons for Practitioners

JOBS Act to Ease Capital Formation for Public and Private Companies and Reduce Regulatory Burdens on Emerging Growth Companies...

JOBS Act to Ease Capital Formation for Public and Private Companies and Reduce Regulatory Burdens on Emerging Growth Companies...

President Obama Signs JOBS Act: Landmark Reform for Small and Emerging Growth Companies Now Law

Congress Has Adopted Legislation to Facilitate Public and Private Capital Formation by Emerging Growth Companies

The March Toward Reform For Emerging Growth Cos.

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

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