PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and Sold? (Part 2)
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and Sold? (Part 1)
Evolving Landscape of Secondary Transactions in Private Equity — PE Pathways Podcast
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is a Public Offering?
AGG Talks: Cross-Border Business Podcast - Episode 25: Venture Capital Trends and Fundraising Strategies for Foreign Startups Expanding to the U.S.
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - Rule 506 Offerings
Podcast — UK FinReg Focus Areas in 2025: Wholesale Markets
AdvisorEsq Podcast Series - Episode 10 - Planning Ahead: The Valuation Equation
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What is a Private Offering?
[Podcast] Unlocking the Potential of Alternative Markets with HighVista Strategies’ Raphi Schorr
Private M&A 2024: Key Trends and Forecasts
JONES DAY TALKS®: Five Pillars of Series A Shareholder Rights: A Discussion for VC Investors
PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What Are the Differences Between Private & Public Offerings?
[Podcast] Scoping Out Secondaries with Portfolio Advisors' Liz Campbell
The Evolving Landscape of Behavioral Health Transactions: Insights from Industry Professionals
AGG Talks: Cross-Border Business Podcast - Episode 19: The Rise of Korean Investment in the Southeast U.S.
The Standard Formula Podcast | Insurers in Difficulty: Staying Compliant Under Solvency II
Navigating Facility Relocation: Legal and Practical Considerations — The Consumer Finance Podcast
Public M&A Day in Frankfurt
Shifting Dynamics in Private Equity
Federal Securities Lawyer and Founding Attorney of Oberheiden P.C., Dr. Nick Oberheiden, answers FAQs about private placements under Regulation D....more
With an estimated 34 people moving to the Charleston area each day and with South Carolina claiming one of the fastest-growing populations in the nation last year , the post-COVID increase in the number of private placement...more
The SEC now permits public marketing of private placements, without burdensome investor wealth verification requirements, if the investment is big enough. On March 12, 2025, the U.S. Securities and Exchange Commission (SEC)...more
On March 12, 2025, the Division of Corporation Finance (the “Division”) of the SEC issued a no-action letter (the “No-Action Letter”) providing new guidance on Rule 506(c) of Regulation D under the Securities Act....more
On March 12, 2025, Latham obtained SEC Staff guidance on the use of general solicitation in private placements. The guidance unlocks the full potential of Regulation D Rule 506(c) by clarifying that issuers may satisfy the...more
Section 4(a)(2) private placements can help companies raise capital without an Initial Public Offering (IPO). While exempt from registration, these offerings do require strict compliance to avoid legal pitfalls. Companies...more
On this episode of Raising Capital 101, Tom Voekler is joined by colleagues Mehanna Borostyan and John Watson to discuss private placements. In this episode, you’ll learn more about the ins and outs of raising capital in a...more
The Ontario Capital Markets Tribunal (Tribunal) recently dismissed enforcement proceedings brought against several respondents by the Ontario Securities Commission (Commission) in Cormark Securities Inc (Re). The Commission...more
Fabry-Pérot Interferometer, SA is a highly successful non-US company known to the world as FPI. FPI is considering doing a debt or equity offering in the United States. What are the key legal issues it, and its underwriters...more
In a perplexing decision, Mithaq Canada Inc (Re), the Ontario Capital Markets Tribunal upheld a defensive private placement by a target corporation completed in the face of a hostile bid, effectively denying shareholders the...more
SFC proposes guidelines for intermediaries conducting and receiving market soundings in securities and capital market transactions. On 11 October 2023, the Securities and Futures Commission (SFC) issued a consultation...more
On July 20, 2023, the Canadian Securities Administrators (“CSA”) announced a temporary exemption (the “Exemption”) from the requirements to transmit a Form 45-106F1 Report of Exempt Distribution (“Report of Exempt...more
On May 9, 2023, FINRA issued Regulatory Notice 23-08 (the “Notice”) to remind members of their obligations when selling private placements (i.e., unregistered securities sold pursuant to safe harbors of the Securities Act of...more
On April 20, 2023, the Toronto Stock Exchange (the “TSX”) adopted, and the OSC provided its notice of approval for, certain amendments (the “Amendments”) to more clearly define the factors that the TSX will now consider when...more
On April 20, 2023, the Toronto Stock Exchange (“TSX”) adopted amendments (“Amendments”) to Section 606 – Prospectus Offerings of the TSX Company Manual (“the Manual”). Among other things, the Amendments provide greater...more
This is our global initial public offering guide. It will help you navigate the US portion of a global IPO – in other words, an IPO in which you sell locally listed ordinary shares to investors outside the United States under...more
On December 1, 2022, the Toronto Stock Exchange (TSX) published for comment certain proposed amendments (the Proposed Amendments) to Section 606 – Prospectus Offerings of the TSX Company Manual (the Manual). The Proposed...more
In this issue of Make (Whole) A Minute, we examine the new ratings rationale reporting requirements being implemented by the NAIC’s Securities Valuation Office. Insurance regulators have long sought greater transparency into...more
Environmental, social and governance (ESG) factors are becoming increasingly relevant across a range of financial investments. This has been driven in part by changes in the legal and regulatory landscape, including increased...more
INTRODUCTION - On 2 November 2020, the U.S. Securities and Exchange Commission (SEC) adopted significant amendments to the exempt offering framework under the Securities Act of 1933, as amended (Securities Act), to harmonize,...more
On August 26, the U.S. Securities and Exchange Commission (“SEC”) announced several changes to the “accredited investor” definition, adding new categories of the eligible individual and corporate candidates for private...more
Direct listings have been a hot topic in the news lately, particularly in light of the recent submission of proposals to the U.S. Securities and Exchange Commission (SEC) by the New York Stock Exchange (NYSE) (and indications...more
Last week, the New York Stock Exchange (NYSE) filed proposed rule changes with the Securities and Exchange Commission (SEC) to allow companies to sell shares on their own behalf in direct listings. Currently, direct listings...more