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...
Home Archive by Category "Uncategorized" (Page 12)
Uncategorized
289 Posts
- Sort by: Most viewed
SEC Chair Gary Gensler Testifies To Congress
On May 6, 2021, new SEC Chair Gary Gensler made his debut, giving testimony to the House Financial Services Committee. Although Mr....
0
725
0
0
SEC Final Rule Changes For Exempt Offerings – Part 5
On November 2, 2020, the SEC adopted final rule changes to harmonize, simplify and improve the exempt offering framework. The new r...
0
717
0
0
ESG Disclosures – A Continued Discussion
In a series of blogs, I have been discussing the barrage of environmental, social and governance (ESG) related activity and focus by...
0
717
0
0
SPAC IPOs A Sign Of Impending M&A Opportunities
The last time I wrote about special purpose acquisition companies (SPACs) in July 2018, I noted that SPACs had been g...
0
710
0
0
OTCQB And OTCQX Rule Changes
Effective October 1, 2020, the OTCQB and OTCQX tiers of OTC Markets have instituted amendments to their rules, including an increase...
0
708
0
0
The Investment Adviser Advertising Rule
On September 14, 2017, the SEC Office of Compliance Inspections and Examinations (“OCIE”) issued a risk alert identifying the most f...
0
707
0
0
SEC Suspends Trading for Record Number of Shell Companies
The Securities and Exchange Commission (SEC) today suspended the trading in 379 dormant shell companies. This is the most trading s...
0
705
0
0