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New Exemptive Rule Could Lower Barriers To Entry For New ETFs
At an open meeting held June 28, 2018, the SEC voted unanimously to propose a new rule codifying exemptions to certain rules under the Investment Company Act.
United States
20 Jul 2018
Replacing Familiar Benchmarks: Preparations To Phase Out The IBORs
Long a mainstay of the financial world, the floating "IBOR" rates, based on the rates of actual or purported interbank offered loans, are now being swept slowly into the dustbin of history.
United States
7 Sep 2017
Investor Advisory Committee Meeting Agenda Announced
The SEC's Investor Advisory Committee has announced the agenda for its June 22 meeting.
United States
26 Jun 2017
Demand-Side Of IPOs
Earlier this month Rick A. Fleming, Investor Advocate at the Securities and Exchange Commission, gave a speech in which he discussed the impact that shrinking public markets have on investor participation.
United States
31 May 2017
SEC And NYU Hold Dialogue On Securities Market Regulation: Reviving The U.S. IPO Market
Former Acting Chair and current SEC Commissioner Michael Piwowar began the dialogue, reiterating the importance of making public capital markets available to businesses.
United States
18 May 2017
Auction-Based IPOs
In a recent journal article, titled "Legal Institutions and IPO Puzzles," authors Ruoying Chen and Saul Levmore, address IPO underpricing.
United States
9 Feb 2017
Late-Stage Private Placements
It is difficult to predict whether this year will mark a turning point in which we see some unicorns undertake IPOs.
United States
16 Jan 2017
US IPO Market Quarterly Review
Renaissance Capital has released its 3Q 2016 Quarterly Review of the US IPO Market. The review reports an improved third quarter with 33 deals completed, raising approximately $6.1 billion.
United States
17 Oct 2016
SEC Eases Regulatory Burden For Listing Actively Managed ETFs
The Securities and Exchange Commission took a step toward streamlining the approval process for actively managed ETFs last week by approving rule proposals from two securities exchanges.
United States
28 Jul 2016
IPO Market Update
During the second quarter 2016, the IPO market improved with 34 IPOs raising approximately $5.5 billion, according to Renaissance Capital.
United States
21 Jul 2016
Congressmen Question IPO Fees
Congressman Himes (CT) and eight other members of Congress wrote to FINRA and to the Securities and Exchange Commission questioning the typical 7% gross spread in U.S. IPOs.
United States
21 Jul 2016
BIO Publishes Study On Capital Raising For Emerging Therapeutic Companies
On May 24, 2016, the Biotechnology Innovation Organization published a study, "Emerging Therapeutic Company Investment and Deal Trends," which collects ten years of data to identify trends affecting "emerging therapeutic companies".
United States
2 Jun 2016
Using The Up-C Structure
In a structure commonly referred to as an "up‑C," an existing LLC or other partnership form undertakes a public offering through a newly formed corporation, which is structured as a holding company that owns an interest in the LLC.
United States
1 Jun 2016
A Lofty Concept: Disclosure Effectiveness
In addition to requesting comment on various specific line items of Regulation S-K, as we note below, the Concept Release poses some fundamental questions regarding disclosure matters.
United States
21 Apr 2016
The Decline Of The Small IPO
A recent journal article by Prof. Robert Bartlett, III, Prof. Paul Rose, and Prof. Steven Davidoff Solomon (What Happened in 1998?
United States
14 Mar 2016
House Financial Services Committee Mark-Up
HR 4638, the Main Street Growth Act, which allows for the registration and creation of venture exchanges in order to facilitate a secondary market, including for companies that have undertaken Regulation A offerings.
United States
9 Mar 2016
JOBS Act Quick Start – A Brief Overview Of The JOBS Act, 2016 Update
JOBS Act Quick Start provides a comprehensive overview of the provisions of the JOBS Act, including the changes brought about in market practice as a result of the IPO on ramp provisions.
United States
3 Feb 2016
2015, A Bad Year For VC-Backed IPOs
PitchBook's 2015 Annual U.S. Venture Industry Report reported a total of 73 venture capital-backed IPOs were conducted in 2015, the lowest number since 2013.
United States
20 Jan 2016
Review Of The 2015 Global IPO Market
According to Renaissance Capital's 2015 Annual Review of the Global IPO Market, a total of 310 IPOs were completed in 2015 raising $156.5 billion in proceeds.
United States
14 Jan 2016
Review Of The 2015 U.S. IPO Market
A total of 170 IPOs were conducted in 2015, according to Renaissance Capital.
United States
7 Jan 2016
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