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Emerging Technology Companies Securities and Exchange Commission (SEC)

Troutman Pepper

SEC Targets Cryptocurrency, Emerging Technologies, and Anti-Money Laundering for 2024 Examination Priorities

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On October 16, the Securities and Exchange Commission’s Division of Examinations (the Division) released its 2024 Examination Priorities report. The report highlights that future examinations will focus on “risk areas...more

Lowenstein Sandler LLP

SEC’s 2024 Examination Priorities for Broker-Dealers

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On October 16, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Examination Priorities for fiscal year 2024 (the (“Report”), marking the first time the...more

Vinson & Elkins LLP

Algorithmic Allegiances: Proposed SEC Rule to Regulate Conflicts of Interest in Technology

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In a move to address the implications of integrating emerging technologies into the financial markets, the U.S. Securities and Exchange Commission (the “SEC”) recently proposed new rules aimed at regulating potential...more

Fenwick & West LLP

Will a Recent U.S. Supreme Court Decision Encourage More Companies to Go Public Through a Direct Listing? Implications of Slack...

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On June 1, 2023, the U.S. Supreme Court (the Supreme Court) issued a much-anticipated decision in the case captioned Slack Technologies, LLC, fka Slack Technologies, Inc. (Slack), et al. v. Pirani (the Slack Decision), which...more

Wiley Rein LLP

Is Federal Cyber Policy About to Make a U-Turn? Notes from #CES Suggest It Might.

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For years, federal cyber policy has been based on successful public-private partnerships, collaboration, and the promotion of voluntary standards that can be tailored to sector and organization-specific risk and needs....more

White & Case LLP

DOJ Announces Seven Director Resignations from Five US Public Company Boards in the Most Recent Wave of Reinvigorated Clayton Act...

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On October 19, 2022, the Antitrust Division of the Department of Justice announced that seven directors resigned from five different US public company boards of directors following DOJ concerns that their roles violated...more

Perkins Coie

2022 Summer Sustainability Series: A Look Back

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Last week we observed the first day of fall, offering an opportunity to look back at the summer that was. Summer 2022 was marked by continued supply chain disruptions; inflation; and acceleration of environmental, social, and...more

Vinson & Elkins LLP

No Gaming the System – The SEC’s Interest in Enforcing Pure Disclosure Violations Continues

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On May 6, 2022, the Securities and Exchange Commission (“SEC”) announced a $5.5 million settlement of charges against NVIDIA Corporation (“NVIDIA”) for allegedly failing to adequately disclose in the Management’s Discussion...more

Lowenstein Sandler LLP

SEC’s OCIE Releases 2022 Examination Priorities for Investment Advisers, Broker-Dealers, and Other Financial Industry...

Lowenstein Sandler LLP on

On March 30, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission (SEC) published its examination priorities for 2022 (the Priorities), which discuss its examination approach...more

Akin Gump Strauss Hauer & Feld LLP

Top 10 Topics for Directors in 2020

Election and Impeachment - The presidential race will garner much of the attention during the 2020 election cycle, but there is fierce competition elsewhere, too. Republicans and Democrats are fighting for both U.S. House...more

Fenwick & West LLP

Key Metrics for Technology and Life Sciences Initial Public Offerings - 2018 Full Year

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Survey Results - Life Sciences and Tech IPOs Continued Hot Streak in Second Half - The life sciences and technology IPO markets continued their strong performance in the second half of 2018, notwithstanding significant...more

Farella Braun + Martel LLP

Private Company Employee Stock Sales Highlight Hidden Dangers of Compliance Failures

We noted with interest the latest moves by some Bay Area tech giants to permit their employees to sell restricted stock to help them realize the stock value as part of their compensation: See New York Times reporting here. ...more

Perkins Coie

Silicon Valley in the Crosshairs: SEC and DOJ Target Fraud Involving Pre-IPO Companies

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Historically, regulators have been reluctant to interfere with the complex world of pre-IPO financing and private market transactions, which tend to involve the most sophisticated investors. However, several recent public...more

Buchalter

Technology Industry Newsletter - October 2015

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We hope you enjoy this edition of our Tech Newsletter. As technology continues to drive business innovation and growth, new and existing companies positioned to take advantage of the tech trends for 2016 will be better...more

Goodwin

Private IPOs and Unicorns May Trigger More H-S-R Act Filings

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The talk of the financial press and venture community during the first half of 2015 has been of private IPOs and unicorns. And for good reason. According to CB Insights, there are more than 588 investor-backed tech companies...more

Goodwin

Financial Services Weekly News Roundup - February 2015

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Editor’s Note - CFTC Commissioner Giancarlo Proposes “Pro-Reform Reconsideration” of the Swaps Trading Rules. On January 29, CFTC Commissioner J. Christopher Giancarlo published a whitepaper titled “Pro-Reform...more

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