News & Analysis as of

Underwriting Corporate Issuers

Whitman Legal Solutions, LLC

Selling Real Estate Securities: Presumptive Underwriters

Most of us think of an underwriter as a brokerage company that helps an issuer with their initial public offering (IPO). Underwriters use their knowledge of the securities market to structure, price, and sell the securities....more

Mayer Brown Free Writings + Perspectives

Market Trends 2020/21: Lock-Up Agreements

This practice note discusses lock-up agreements between underwriters or placement agents, on the one hand, and issuers and their directors, officers, and control persons, on the other, in connection with offerings of...more

Bennett Jones LLP

Mining Initial Public Offering Checklist - 2019

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Canada’s world leading mining capital markets offer a wealth of opportunity, with their access to local and global investors, finance opportunities for companies at all stages, and sophisticated technical know-how. While...more

Bennett Jones LLP

Renewable Energy & Clean Technology Initial Public Offering

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Canada’s world leading renewable energy and clean technology capital markets offer a wealth of opportunity, with their access to local and global investors, finance opportunities for companies at all stages, and sophisticated...more

Bennett Jones LLP

Oilfield Services Initial Public Offering Checklist

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Canada’s world leading oilfield services capital markets offer a wealth of opportunity, with their access to local and global investors, finance opportunities for companies at all stages, and sophisticated technical know-how....more

Allen Matkins

Control Persons And Underwriter Status

Allen Matkins on

Yesterday's post concerned someone who allegedly bragged about being in control of an issuer, but not taking a formal position with the issuer so as to avoid the volume limitations under Rule 144. Despite this alleged...more

Kramer Levin Naftalis & Frankel LLP

FINRA Announces Proposed Amendments to Modernize Corporate Financing Rule

The Financial Industry Regulatory Authority, Inc. (FINRA) has proposed the first major overhaul since 2004 of its rule regulating public offerings, titled “Regulatory Notice 17-15”....more

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