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2021 Annual Report of Office of Advocate for Small Business Capital Formation
The Office of the Advocate for Small Business Capital Formation (“Office”) has delivered a report to Congress following the 40th ann...
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A COVID IPO
On June 25, 2020, SEC Chair Jay Clayton gave testimony before the Investor Protection, Entrepreneurship and Capital M...
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A Covid IPO: The Virtual Roadshow
Although many aspects of an IPO are unaffected by a pandemic, assuming the capital markets continue to have an appetite for public o...
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A Drill Down On Rule 506 Of Regulation D
On June 18, 2019, the SEC issued a 211-page concept release and request for public comment on ways to simplify, harmonize, and impro...
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A Resolution For SPAC Warrant Accounting
On April 12, 2021, the SEC effectively chilled SPAC activity by announcing that it had examined warrant accounting in several SPACs ...
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A Review of FINRA’s Corporate Finance Rule
As the strongest U.S. IPO market in decades continues unabated, it seems a good time to talk about underwriter’s compensation. FINR...
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American Bar Association Comments On Title II Of The JOBS Act
Summary of Title II Title II of the JOBS Act provides that, within 90 days of the passage of the JOBS Act (i.e. July 5, 2012), the...
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