Exploring the Administration's Regulatory Impact on Private Equity — PE Pathways Podcast
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is a Public Offering?
Best Practices for Preparing Your Company for Exit
Tech Debt is Common. What does it mean for IPO readiness from a cybersecurity perspective?
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Makes it a Securities Offering?
A Day in the Life of a Financial Services General Counsel - The Consumer Finance Podcast
Has the SPAC Bubble Burst? Part 2: The SEC’s New Rules
Has the SPAC Bubble Burst? Lessons Learned From the Early Days of SPAC Mania
Fast Track to IPO: Why Are Series A Startups Snatching Topflight CFOs?
The Brave New Frontier of Securing D&O Insurance for SPACs and deSPACs
Venture Capital: Global State of the Market
Nota Bene Episode 95: Mapping Capital Markets and Securities Enforcement in the Current COVID-19 Moment with Jamie Mercer and John Stigi
Compliance and Coronavirus-Michael Beber on M&A, IPOs and SPACs During and After Covid-19
What Is a Direct Listing?
Compliance into the Weeds-Episode 85-Professor Coffee on the Dearth of IPOs
Life Sciences Quarterly: A View From Washington: What to Expect From the SEC
Dual-track IPOs
FCPA Compliance and Ethics Report-Episode 175-Debra Bruce on new methods for law firm funding and its implications
Advanced Intellectual Property Strategies for Defending Your Life Sciences IPO
The M&A Word of the Day® from the Book of Jargon® – Global Mergers & Acquisitions is Dual Track Process
Pre-IPO investing involves buying a stake in a company before the company makes its initial public offering of securities. Many stock promoters invite potential investors to invest in a pre-IPO offering by providing an...more
On October 30, 2023, the US Securities and Exchange Commission ("SEC") announced that it filed charges against SolarWinds Corp. ("SolarWinds" or the "Company") and its Chief Information Security Officer ("CISO") in connection...more
Last week, the U.S. Supreme Court solidified the “tracing” requirement for private plaintiffs to be able to assert Section 11 claims pursuant to the Securities Act of 1933, holding that plaintiffs asserting such securities...more
On March 31, 2023, U.S. District Judge Ronnie Abrams of the Southern District of New York dismissed a putative securities class action against CarLotz, Inc. (CarLotz), and certain of its officers and directors on the grounds...more
On March 15, 2023, the Department of Justice (“DOJ”) announced that Michigan-based bank Sterling Bancorp, Inc. (“Sterling”) agreed to plead guilty to securities fraud for allegedly filing false statements relating to its 2017...more
FINRA punctuated its annual post-New Year’s Report on FINRA’s Examination and Risk Monitoring Program (the “Report”), by including a new target category “Financial Crimes.” The inclusion of this category is noteworthy not...more
Bearing the Bear Market: Article 2 The funding environment for emerging companies has fundamentally shifted in 2022 for both venture capital and IPOs, particularly after a banner year in 2021. Whether these headwinds...more
The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more
The PCAOB recently released a new Audit Committee Resource, which sets forth questions that audit committee members may want to consider incorporating into their ongoing engagement with auditors. The categories of questions...more
In the past several years, the number of claims filed against newly public companies under the Securities Act of 1933 has increased significantly. At the same time, the development of direct listings has given companies...more
Dispatch #1 from the Elizabeth Holmes Theranos criminal fraud trial, which opened yesterday with jury selection and saw the excusing of 9 of the initial batch of about 50 potential jurors for lack of vaccination...more
Companies should routinely assess their directors and officers (“D&O”) insurance policies to ensure they maximize coverage for business-specific and ever-evolving risks. This exercise is also important when the policyholder...more
Treasury Secretary Yellen perhaps inadvertently dipped back into Fed Chair mode for a bit on Tuesday, acknowledging that some movement in interest rates may be necessary to “keep the economy from overheating given the large...more
Blockchain Used in IPO and ATS, Bitcoin Fund Announced, APAC Trade Data Published - According to reports, this week a Gibraltar-based cryptocurrency exchange, INX Ltd., has announced that the U.S. Securities and Exchange...more
This is our global initial public offering guide. It will help you navigate the US portion of a global IPO – in other words, an IPO in which you sell locally listed ordinary shares to investors outside the United States under...more
Today, I conclude my short exploration of the recent spate of Foreign Corrupt Practices Act (FCPA) enforcement actions brought by the Securities and Exchange Commission (SEC) at the close of its fiscal year. Each FCPA...more
Sears marked the end of an era today, as the store that “more than a century ago pioneered the strategy of selling everything to everyone” filed for bankruptcy protection early this morning....more
Hiding somewhat in the shadows during the rise of virtual currencies over the past year or two has been blockchain, the ledger technology that undergirds bitcoin and other cryptos, and its potential application beyond digital...more
Theranos founder and ex-CEO Elizabeth Holmes has been indicted on federal fraud charges along with former company president Ramesh Balwani. The charges come three months after Holmes settled civil charges with the SEC....more
Initial public offering of: a sizeable number of ordinary shares - Offer price per share: stated in local currency - This is our global initial public offering guide. It will help you navigate the US portion of a global...more
Spotify’s unconventional (non-IPO) public listing is off and running, and though it’s early, it sure feels as if the risk was a good one, with the market valuing the company north of $30 billion....more
Barclays and a group of its former execs are facing charges of fraud by false representation by Britain’s Serious Fraud Office over deals they struck with Qatar in 2008 to avoid a government bailout....more
White Collar Watch dates itself considerably with its Perry Mason allusion, but its bigger point is an interesting one–good luck finding a true “gotcha” moment when dealing with what are “quintessentially offenses of the...more
Former AIG chief Hank Greenberg and his co-defendant, AIG’s former CFO, reached an “unexpected” settlement last week with NY officials. The duo will fork over about $10 million in bonuses payments and admit that they...more