News & Analysis as of

Initial Public Offering (IPO) Compliance

Latham & Watkins LLP

The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - 2024 Edition

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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

Foley & Lardner LLP

Stay Private or Go IPO?

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Share on Twitter Print Share by Email Share Back to top Public investors have become more discerning about Initial Public Offerings (IPOs). Instead of chasing speculative high-growth stories, they are leaning towards...more

Foley & Lardner LLP

Will Delaware remain home to American corporations?

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According to the latest statistics from Delaware’s Division of Corporations, 68.2% of all Fortune 500 companies are incorporated in the Delaware, 79% of US-based IPOs in 2022 listed Delaware as their “corporate home,” and...more

Goodwin

Healthcare Experts See Promising Signs of Rebound in M&A and IPO Activity

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In the second week of January, Goodwin and KPMG convened innovators, practitioners, regulators, and others for our annual symposium on the future of life sciences and healthcare. This marked the fifth year that Goodwin...more

Whitman Legal Solutions, LLC

Rule 506 Offerings Continue to be Popular with Real Estate Companies

Like an accordionist, real estate sponsors often seek to be innovative. Cutting-edge opportunities like crowdfunding and online selling platforms call to them. However, based on statistics from the Securities and Exchange...more

Goodwin

SEC Adopts New Rules Applicable to SPACs, Shell Companies and Projections

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We previously noted in our March 31, 2022 alert that the U.S. Securities and Exchange Commission (SEC or Commission) held an open meeting on March 30, 2022 to consider proposed rules and amendments regarding special purpose...more

Foley & Lardner LLP

Current Look at Digital Health

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There have been exciting advancements in the digital health space over the past few years that are truly changing lives, but the sector seems to be experiencing a reset as investment drops off. Below, we look at some current...more

Proskauer Rose LLP

SEC Strengthens Regulation 13D-G Rules for Beneficial Ownership Reporting

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On October 10, 2023, the Securities and Exchange Commission adopted amendments to the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The adopting release...more

Latham & Watkins LLP

Five Strategies for Startups to Effectively Tackle ESG

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As more public — and even private — companies will need to address ESG expectations, some simple strategies can help companies chart a course from the beginning. As the global focus on environmental, social, and...more

Holland & Hart LLP

Publicly Traded Cannabis Companies: To Be or Not To Be?

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The cannabis industry is in distress. Despite continued market expansion and the increasing number of states legalizing adult use, business owners still grapple with lingering supply-chain issues from the pandemic, an...more

Foley & Lardner LLP

The Evolving Landscape of Enterprise SaaS

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Despite belt-tightening in IT budgets across enterprises, software-as-a-service (SaaS) continues to experience sustained growth. As companies continue to embrace digitalization and cloud-based solutions, the Enterprise SaaS...more

Goodwin

FINRA, Nasdaq, and NYSE Warn Firms of Pump-and-Dump Schemes Following IPOs of Small-Cap Issuers

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FINRA, Nasdaq, and NYSE published separate notices to alert their members about recent observations related to initial public offerings (IPOs) for certain small capitalization (small-cap) issuers listed on US stock exchanges...more

Nutter McClennen & Fish LLP

Nutter Securities Enforcement Update: September 1, 2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

WilmerHale

PCAOB Releases New Audit Committee Resource

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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

Society of Corporate Compliance and Ethics...

[Virtual Event] Compliance in Smaller Organizations - July 19th, 8:30 am - 4:15 pm CDT

Explore strategies for effective compliance management in smaller organizations - Roughly a third of SCCE members come from organizations of 1000 people or less—many with fewer than 500 employees! And we know better than...more

Pillsbury Winthrop Shaw Pittman LLP

SEC Streamlines Financial Disclosure Requirements under Regulation S-K for Reporting Companies

The amendments are designed to increase focus on material information while simplifying compliance efforts. The amendments eliminate the five-year selected financial data requirement, limit selected quarterly financial...more

Fenwick & West LLP

The Latest and Greatest on Direct Listings: Direct Listings + Capital Raise, Lock-Up Agreements, COVID-19 and More

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Our last in a series of articles on direct listings noted that we were expecting significant regulatory developments to give companies more flexibility to pursue alternatives to a traditional initial public offering. Those...more

White & Case LLP

Direct listings—something new, or variations on a theme?

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There has been a lot of publicity and interest surrounding the direct listings of Spotify (2018) and Slack (2019) in the United States. In many respects, these transactions resemble the traditional "introduction" which has...more

Vedder Price

FINRA Announces 2020 Exam Priorities

Vedder Price on

On January 9, 2020, FINRA released its 2020 Risk Monitoring and Examination Priorities Letter for its member firms. The exam priorities are organized into four categories: (1) sales practice and supervision; (2) market...more

White & Case LLP

SEC Adopts Amendments to Modernize and Simplify Disclosure Requirements - And Provides Guidance on the Significantly Streamlined...

White & Case LLP on

On March 20, 2019, the SEC voted to adopt amendments to modernize and simplify disclosure requirements for public companies, investment advisers, and investment companies. The amended rules, which are based on amendments...more

Latham & Watkins LLP

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

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

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

Troutman Pepper

Crowdfunding Regulations

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On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more

Orrick - Finance 20/20

SEC Adopts Rules to Permit Crowdfunding: Proposes Amendments to Existing Rules to Facilitate Intrastate and Regional Securities...

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On October 30, the Securities and Exchange Commission adopted final rules under Title III of the JOBS Act (“Regulation Crowdfunding”) to permit a company to offer and sell securities through crowdfunding transactions that...more

Baker Donelson

They've Arrived: Long-Awaited Federal Crowdfunding Rules Adopted by SEC

Baker Donelson on

On October 30, 2015, the U.S. Securities and Exchange Commission (SEC) voted three to one to adopt equity crowdfunding rules pursuant to Title III of the Jumpstart Our Business Startup Act of 2012 (JOBS Act)....more

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