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Capital Markets › Equity Securities

Potomac Law Group, PLLC

When SAFEs Get Complicated: Hidden Pitfalls in Early-Stage Financing

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Last month, a startup’s Series A nearly fell apart when investors and founders realized their different calculation methods produced a $750,000 variance. The culprit was not deception or bad faith, but rather a complex...more

Williams Mullen

PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public...

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On this episode of Raising Capital 101, host Tom Voekler is joined by colleagues Rhys James, John Watson, and Mehanna Borostyan to break down the main differences between public, quasi-public, and private offerings. In this...more

Wyrick Robbins Yates & Ponton LLP

Nasdaq Proposes to Accelerate Delisting Process

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Nasdaq has proposed amendments to its listing standards that would accelerate the delisting process for certain companies that fail to satisfy its minimum bid price requirement. These proposals are ostensibly in response to...more

Jones Day

SEC Proposes Three New Rules for Securities-Based Swaps

Jones Day on

The SEC is considering new rules that would require public position reporting and other requirements for security-based swaps. On December 15, 2021, the SEC proposed three rules under the Securities Exchange Act to...more

Hogan Lovells

Securities and markets regulatory news, August 2020 # 2

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Capital market regulation: FCA speech - The FCA has published a speech given by Mark Steward, Executive Director of Enforcement and Market Oversight on "Capital market regulation and coronavirus". Among other things, Mr...more

Skadden, Arps, Slate, Meagher & Flom LLP

Coronavirus/COVID-19 Update

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As health organizations and governments around the world work to contain the coronavirus (COVID-19), businesses should be mindful of the various ways the virus may impact their operations and employees. The wide range of...more

Hogan Lovells

Roadmap of a Listing in London - Equity Capital Markets

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Hogan Lovells has prepared a roadmap of the key issues to consider when planning your listing in London. ...more

Hogan Lovells

Brexit and your prospectuses

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The events surrounding the Brexit negotiations continue to be in a state of flux - but we do have some clarity around the status of the Prospectus Regulation in the UK whatever the outcome of the UK Government's negotiations...more

Farrell Fritz, P.C.

Gig Stock: Extension of Rule 701 Exemption for Compensatory Equity Proposed for Gig Economy Participants

Farrell Fritz, P.C. on

Private companies in the gig economy like Uber, Airbnb and GrubHub would love to issue compensatory equity to their platform participants, just like they’re able to do with their employees. ...more

Parker Poe Adams & Bernstein LLP

Brexit’s Impact on the U.S. Capital Markets

Parker Poe Adams & Bernstein LLP on

You may have heard by now that the U.K. plans to leave the European Union at some point in the next few years. Since the British voted back on June 23, 2016, there has been no shortage of learned analysis/rank speculation...more

Cadwalader, Wickersham & Taft LLP

New 871(m) Regulations Finalize Dividend Equivalent Payment Withholding Rules for Equity Derivatives

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On September 17, 2015, the IRS and the Treasury Department issued final, temporary, and proposed regulations under section 871(m) of the Internal Revenue Code (collectively, the “new regulations”) that provide the rules for...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

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This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

Skadden, Arps, Slate, Meagher & Flom LLP

"Despite Decline in IPO Activity, US Capital Markets Remain Strong in 2015"

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Although the number of U.S. IPOs in 2015 is down compared to this time last year, the U.S. equity and debt markets continue to remain strong. The number of follow-on equity offerings is up 41 percent from last year, with a...more

Latham & Watkins LLP

Coming to America – A Guide for FPIs

Latham & Watkins LLP on

In this Issue: - The Latham FPI Guide: Accessing the US Capital Markets From Outside the United States - Chapter 1: Background - Chapter 2: Unregistered Global Offerings – Regulation S, Rule 144A and...more

Troutman Pepper

Access To The U.S. Capital Markets By Foreign Issuers: A Guide To Rule 144A And Regulation S Offerings

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Public and private entities can access the U.S. capital markets without registering the offering with the U.S. Securities and Exchange Commission (SEC) by issuing securities under Rule 144A and/or Regulation S of the U.S....more

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