News & Analysis as of

Emerging Growth Companies

Emerging Growth Companies (EGC) are companies with total yearly gross revenues of under $1 billion for the most recently completed fiscal year.  

Emerging Company Essentials: Getting Paid – Legal Update from Jeremy Halpern and John Loughnane

by Nutter McClennen & Fish LLP on

Jeremy Halpern, a partner and co-chair of the firm’s Emerging Companies Group, and John Loughnane, a partner in Nutter’s Corporate and Transactions Department, authored a guide for emerging companies entitled “Emerging...more

Blog: Treasury Report Recommends Actions To Increase Access To Capital

by Cooley LLP on

The Treasury Department recently issued a new report, A Financial System That Creates Economic Opportunities—Capital Markets, that, in its recommendations, not surprisingly, echoed in many respects the House’s Financial...more

House Bill Aims To Encourage Public Offerings

by Fox Rothschild LLP on

In an effort to facilitate capital formation, the SEC's Division of Corporation Finance expanded its nonpublic review process to permit all companies to submit draft registration statements relating to an initial public...more

Life Sciences Quarterly: A View From Washington: What to Expect From the SEC

by Ropes & Gray LLP on

What should we expect from the U.S. Securities and Exchange Commission regarding the status of new and existing initiatives by Congress and SEC policy, and how will it affect disclosure, governance and capital formation? In...more

Five Takeaways From Fenwick’s Sixth Annual Digital Health Investor Summit

Fenwick’s Sixth Annual Digital Health Investor Summit started on an upbeat note with Rock Health’s Megan Zweig sharing the venture fund’s mid-year funding report. After the uncertainty brought by the 2016 presidential...more

Treasury Issues Plan to Streamline Capital Markets Regulation

Pursuant to Executive Order 13772, the Treasury Department has issued a report that identifies laws, treaties, regulations, guidance, reporting and record keeping requirements, and other government policies that promote or...more

The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - 2017 Edition

by Latham & Watkins LLP on

Fabry-Pérot Interferometer, SA is a highly successful non-US company known to the world as FPI. FPI is considering doing a debt or equity offering in the United States. What are the key legal issues it, and its underwriters...more

EuVECA and EuSEF amended: another opportunity to succeed?

by DLA Piper on

On 14 September the European Parliament approved a revised version of the so-called EuVECA and EuSEF regulations. The Regulations no. 345/2013 on European venture capital funds (EuVECA) and no. 346/2013 on European social...more

SEC Advisory Committee Meeting on Small and Emerging Companies

On September 13, 2017, the SEC Advisory Committee on Small and Emerging Companies held an open meeting to discuss the Sarbanes-Oxley (“SOX”) auditor attestation requirement, the final report that will be issued prior to the...more

Blog: SEC Committee On Small And Emerging Companies Completes Final Report And Recommendations

by Cooley LLP on

At the final meeting yesterday of the SEC Committee on Small and Emerging Companies (apparently soon to morph into the Small Business Capital Formation Advisory Committee), the Committee finalized the discussion draft of its...more

The Difference Between Venture Capital And Private Equity (And How Star Wars And Star Trek Will Help You Remember Them).

by Fox Rothschild LLP on

Quick quiz:- If your startup is seeking investors, will you have more success with private equity or venture capital firms? How about when you’re looking to sell that company? ...more

SEC Updates Guidance on Draft Registration Statements

On Aug. 17, the U.S. Securities and Exchange Commission (SEC) issued guidance in connection with financial information that may be omitted on draft registration statements. These measures are the latest in the SEC’s efforts...more

SEC Updates Financial Reporting Manual

On August 25, 2016, the SEC’s Division of Corporation Finance (“Corp Fin”) updated its Financial Reporting Manual by making the following changes...more

Intellectual Property 101: What It Is and Why I Should Protect It

by Varnum LLP on

Startups and early stage companies have many things to focus on and worry about, and the protection of intellectual property (IP) is likely not on the top of the list, if it’s on the list at all. Why? Because a business...more

FERF Report on EGC Status

Recently, the Financial Executives Research Foundation (FERF) published a white paper titled, “Growing Past Emerging Growth: Five Years After the JOBS Act,” which highlights areas of focus for emerging growth companies (EGCs)...more

Corporate and Financial Weekly Digest - Volume XII, Issue 33

SEC/CORPORATE - SEC Division of Corporation Finance Issues New and Updated C&DIs on Omission of Financial Information from Draft Registration Statements - Since the adoption of the Fixing America’s Surface...more

SEC issues new guidance on omission of interim financial information from draft registration statements

by Hogan Lovells on

On August 17, the SEC’s Division of Corporation Finance issued new guidance indicating that emerging growth companies (EGCs) and non-EGCs may omit from their nonpublic draft registration statements interim financial...more

2017 Mid-Year Technology and Life Sciences IPO Report

Wilson Sonsini Goodrich & Rosati’s 2017 Mid-Year Technology and Life Sciences IPO Report presents key data related to the pricing of 26 U.S.-based technology and life sciences issuers between January 1 and June 30, 2017. Just...more

SEC Extends IPO Accommodations by Permitting Exclusion of Interim Financial Information in Confidential Draft Registration...

by Shearman & Sterling LLP on

On August 17, 2017, the SEC’s Division of Corporation Finance issued guidance further extending an important accommodation provided to companies contemplating going public. Under the updated guidance, all issuers, including...more

SEC Reduces Financial Information Requirements for Draft Registration Statements

On August 17, 2017, the Securities and Exchange Commission (SEC) updated its June 29, 2017 guidance on the confidential review process for draft registration statements and financial information that may be omitted from draft...more

Preliminary Planning for the 2018 Proxy Season

Rule 14a-21(b) requires a say-on-pay frequency vote every six years. Many issuers included a frequency vote in their 2017 proxy because they were subject to the initial rules when they became effective for shareholders’...more

SEC Expands Nonpublic Draft Registration Statement Processing Procedures

by Fox Rothschild LLP on

Beginning July 10, 2017, the Division of Corporation Finance of the Securities and Exchange Commission (SEC) will permit all companies to submit draft registration statements relating to initial public offerings (IPOs) for...more

Unchained: Delaware Authorizes Blockchain Technology for Corporate Records

by Farrell Fritz, P.C. on

On August 1, 2017, Delaware became the first state to allow corporations to record issuances, transfers and ownership of stock using blockchain technology. The amendments were passed by the Delaware State Senate and House of...more

Roundtable on Access to Capital Letter

The IPO Task Force seems to have come together again. The Center for Capital Markets released a letter dated August 22, 2017 addressed to the Treasury Secretary setting out a few suggestions, which are quite similar to those...more

SEC Expands Confidential Review of IPO Registration Statements

The SEC announced earlier this summer (and supplemented that announcement late last week with additional information) that it has expanded the availability of its popular procedure for confidential non-public review of, and...more

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