The outlook for life sciences IPOs is showing renewed optimism heading into 2025, with market conditions becoming more constructive and regulatory environments potentially more favorable....more
For publicly traded biotech companies, disclosing clinical trial data can be an exciting milestone as you build towards an exit or public offering—but disclosure is a double-edged sword....more
1/6/2025
/ Capital Raising ,
Clinical Trials ,
Corporate Governance ,
Disclosure Requirements ,
Initial Public Offering (IPO) ,
Investors ,
Life Sciences ,
Material Nonpublic Information ,
Medical Research ,
Pharmaceutical Industry ,
Private Investment in Public Equity (PIPEs) ,
Publicly-Traded Companies
When it comes to disclosing clinical trial data in the biotechnology arena, in particular for public biotech companies, timing is everything. Disclosures are not just about when to reveal the information, but also what is...more
1/6/2025
/ Annual Reports ,
Biotechnology ,
Clinical Trials ,
Corporate Governance ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Food and Drug Administration (FDA) ,
Form 10-K ,
Form 10-Q ,
Life Sciences ,
Pharmaceutical Industry ,
Securities and Exchange Commission (SEC)
Institutional Shareholder Services (ISS) and Glass Lewis, the leading proxy advisors in the United States, have announced updates and clarifications for their voting guidelines for the 2023 proxy season. Their voting...more
12/6/2022
/ Board of Directors ,
Climate Change ,
Cybersecurity ,
Disclosure Requirements ,
Diversity and Inclusion Standards (D&I) ,
Environmental Social & Governance (ESG) ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Overboarding ,
Proxy Advisors ,
Proxy Voting Guidelines ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Voting Rights
On February 25, 2022, the U.S. Securities and Exchange Commission issued a proposal—Short Position and Short Activity Reporting by Institutional Investment Managers (the Proposal)—that would require certain institutional...more
3/4/2022
/ Broker-Dealer ,
Consolidated Audit Trail ,
Disclosure Requirements ,
Investment Adviser ,
Proposed Amendments ,
Proposed Rules ,
Publicly-Traded Companies ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act of 1934 ,
Stocks
The U.S. Securities and Exchange Commission has proposed amendments to the proxy solicitation rules, directly targeting proxy advisory firms (Release No. 34-87457). Consistent with the updated interpretative guidance the SEC...more
11/19/2019
/ Conflicts of Interest ,
Disclosure Requirements ,
Exemptions ,
Filing Requirements ,
Investment Adviser ,
Proposed Rules ,
Proxy Advisors ,
Proxy Advisory Firms ,
Proxy Season ,
Proxy Solicitations ,
Proxy Statements ,
Proxy Voting ,
Proxy Voting Guidelines ,
Public Comment ,
Securities and Exchange Commission (SEC) ,
Shareholder Meetings