On December 13, the U.S. Securities and Exchange Commission’s (SEC) Division of Corporation Finance staff (the staff) updated its Compliance & Disclosure Interpretations (CD&Is), concerning the use of non-generally accepted...more
As part of their growth strategy, private biotech and pharmaceutical companies often seek to raise capital through initial public offerings (IPOs). In addition to raising capital, an IPO can give a life sciences company a...more
Investors are still feeling the burn from biotech’s flameout. And with rising interest rates and increasingly strict regulatory scrutiny, it’s no wonder they remain wary of being singed by the sector.
Originally published...more
On February 9, the Securities and Exchange Commission (SEC) proposed rule amendments to shorten the standard securities settlement cycle for most broker-dealer transactions to one business day after the trade date (commonly...more
On February 10, the Securities and Exchange Commission (SEC) proposed rule amendments to modernize beneficial ownership reporting under Sections 13(d) and 13(g) of the Exchange Act. Under the current rules, beneficial owners...more
On December 15, the Securities and Exchange Commission (SEC) proposed rule amendments regarding the availability of the Rule 10b5-1(c)(1) affirmative defense to insider trading liability and enhanced disclosure requirements....more
On April 16, the Nasdaq Stock Market issued Nasdaq Issuer Alert 2020-2, announcing a proposal for temporary relief for companies listed on the exchange with respect to stock prices and market values that have fallen below...more
On March 31 and April 6, the U.S. Securities and Exchange Commission (SEC) issued Compliance and Disclosure Interpretations (C&DIs) to provide additional clarity regarding the SEC’s COVID-19 Order issued on March 4 and...more
In light of the rapid pace of developments related to the coronavirus disease 2019 (COVID-19) pandemic, Nasdaq has issued a memorandum for Nasdaq-listed companies regarding the pandemic’s impact on the exchange and certain...more
Life science companies operate in a heavily regulated environment and the rules of the game are constantly changing. Join members of Pepper’s Health Sciences Department as they discuss the latest in deals in the life sciences...more
Life science companies operate in a heavily regulated environment and the rules of the game are constantly changing. Join members of Pepper’s Health Sciences Department as they discuss the latest in deals in the life sciences...more