News & Analysis as of

Initial Public Offering (IPO) Dodd-Frank Wall Street Reform and Consumer Protection Act

Latham & Watkins LLP

The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - 2022 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

Lowenstein Sandler LLP

SEC Releases Guidance Jeopardizing the Viability of Certain Pre-IPO Liquidity Products

Lowenstein Sandler LLP on

Takeaways: •‘Forward Contracts’ on securities that (1) cannot be legally transferred, or (2) are subject to transfer restrictions at the time of contract, may now be considered ‘security-based swaps’ and subject to the...more

Goodwin

Jumpstarting the Next JOBS Act - JOBS Act 4.0

Goodwin on

The Jumpstart Our Business Startups (JOBS) Act was signed into law by President Barack Obama on April 5, 2012 and aimed to improve access to public capital markets for emerging growth companies. While largely considered a...more

Jones Day

SEC Adopts Final Rules Governing Payment Disclosure by Resource Extraction Issuers

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The rules will require resource extraction issuers to file a Form SD on an annual basis that includes information about payments related to the commercial development of oil, natural gas, or minerals that are made to the U.S....more

Vinson & Elkins LLP

Third Time’s A Charm! SEC Finally Approves New Rule Requiring Mining, Gas, And Oil Firms To Disclose Government Payments

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On December 16, 2020, the SEC passed a new rule which will require publicly traded companies operating in the oil and gas industries to disclose payments that they make to foreign governments. The SEC voted to adopt rules...more

Skadden, Arps, Slate, Meagher & Flom LLP

Skadden's 2020 Insights

Despite political and economic uncertainties, markets and deal activity were resilient in 2019, and strong fundamentals remain in place heading into 2020. Companies continue to face a challenging litigation and enforcement...more

Robins Kaplan LLP

Financial Daily Dose 9.11.2019 | Top Story: Hong Kong Stock Exchange Makes Surprise Bid for London Exchange

Robins Kaplan LLP on

There’s some surprise market wheeling and dealing afoot this morning. The Hong Kong stock exchange has offered to buy its London counterpart as part of a deal valued at $37 billion that would connect “the established...more

Latham & Watkins LLP

The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - 2019 Edition

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

Robins Kaplan LLP

Financial Daily Dose 6.12.2019 | Top Story: State AGs take aim at Sprint/T-Mobile merger with antitrust suit

Robins Kaplan LLP on

Sprint and T-Mobile are facing new merger headwinds in the form of a NY & CA state AG-led lawsuit in the Southern District of New York that seeks to block the deal, alleging that it would cost customers of the companies “at...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

BakerHostetler

House OKs JOBS Act 3.0, but Capital Formation Bill on Hold Amid Senate Talks

BakerHostetler on

Last month the House overwhelmingly approved a package of rifle-shot changes to financial services laws, but competing priorities and election-year politics are complicating its consideration in the Senate....more

Farrell Fritz, P.C.

SEC Reporting Companies Soon to be Regulation A+ Eligible

Farrell Fritz, P.C. on

Buried in new legislation mainly intended to ease Dodd-Frank restrictions on small banks is an expansion of Regulation A eligibility to include SEC reporting companies. ...more

Wilson Sonsini Goodrich & Rosati

Dodd-Frank Rollback Law Includes Increased Flexibility for Growth Companies and Venture Funds

On May 24, 2018, President Trump signed into law a broad rollback of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. In addition to a number of changes applicable specifically to financial institutions,...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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A political crisis in Rome has economics [at least partially] and EU commitment at its core and is reminding some observers of the Greece morass of a few years back. The uncertainty the situation’s creating is not expected to...more

Stinson - Corporate & Securities Law Blog

Dodd-Frank Rollback Requires Changes to Regulation A+ and Rule 701

The Economic Growth, Regulatory Relief, and Consumer Protection Act (S. 2155), which is primarily aimed at easing regulations on community banks, also contains provisions designed to facilitate capital formation. President...more

Skadden, Arps, Slate, Meagher & Flom LLP

Capital Markets Alert – Public Market Advocacy Groups Release Guidance

On April 27, 2018, the Securities Industry and Financial Markets Association (SIFMA), the U.S. Chamber of Commerce and Nasdaq, along with certain technology and biotechnology groups, released a policy paper titled “Expanding...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The SEC has opened a probe into Guggenheim Partners’ asset-management arm over an $85-million real-estate transaction and a series of other deals involving ABS Capital—including a loan to BCBG Max Azria just months before the...more

Skadden, Arps, Slate, Meagher & Flom LLP

Priorities Begin to Emerge for Trump’s SEC

The actions that Securities and Exchange Commission (SEC) Chairman Jay Clayton has taken since the start of his tenure in May 2017 provide an indication of SEC priorities, including encouraging initial public offerings (IPOs)...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Breakingviews is all about new GE CEO John Flannery’s quest for the “soul” of the company, but it’s also very interested in less philosophical matters—especially on the heels of GE halving dividends....more

Cooley LLP

Blog: Treasury Report Recommends Actions To Increase Access To Capital

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

Morrison & Foerster LLP - JOBS Act

SEC Chair Clayton’s Testimony

Earlier in the week, SEC Chair Clayton provided testimony in Congress regarding the Commission’s agenda. In his testimony, Chair Clayton noted that the Commission remains focused on regulatory initiatives required by the FAST...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The Systemic Risk Council—a heady group of “former top financial regulators, regulators, policymakers and academics”—is warning that the rollback of Dodd-Frank and other financial regulators could lead to bank failures and...more

Cooley LLP

Blog: Decline in IPOs—blame Dodd-Frank?

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A frequent lament these days is the decline in the number of IPOs and public companies generally, with much of the discussion—particularly at the agency and Congressional levels—focused on the adverse impact of increased...more

Morrison & Foerster LLP - JOBS Act

Congressional Hearing: The Cost of Going Public

On July 18, 2017, the House Subcommittee on Capital Markets, Securities and Investments held a hearing and heard testimony regarding the regulatory burdens facing public companies in the United States that may result in...more

Skadden, Arps, Slate, Meagher & Flom LLP

Financial CHOICE Act Aims to Open Capital Markets and Reduce Regulatory Burdens

On June 8, 2017, the House of Representatives passed, by a 233-186 party-line vote (with all Democrats and one Republican voting against), the Financial CHOICE Act of 2017, a bill principally designed to reverse many features...more

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