IPO, SEC, FINRA | JD Supra Law News

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

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

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

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters

IPO › Securities & Exchange Commission › FINRA