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Capital Markets › Underwriting › Securities and Exchange Commission (SEC)

Cooley LLP

Final Changes: The Upsizing or Downsizing Handbook

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Pricing day is a huge milestone in the initial public offering (IPO) journey. It is the culmination of months of preparation and drafting and being out on the road talking to investors. Before you hit the road, you’ll have...more

A&O Shearman

Greater Flexibility for Raising Capital in Nasdaq Direct Listings

A&O Shearman on

On December 2, 2022, the SEC, acting through its Division of Trading and Markets, approved changes that Nasdaq had proposed to its regime for primary direct listings (which Nasdaq refers to as direct listings with a capital...more

Skadden, Arps, Slate, Meagher & Flom LLP

NYSE Direct Listing Rules Approved; Nasdaq Proposes Substantially Similar Rules

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On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) approved a proposal by the New York Stock Exchange (NYSE) that allows companies going public via a direct listing to issue new shares and raise capital...more

BakerHostetler

Capital Markets: The Nuts and Bolts of a Direct Listing

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Direct listings have been gaining traction as an alternative to the traditional IPO approach to going public. A direct listing is the registered sale of a company’s stock and the listing of that company’s stock on an exchange...more

White & Case LLP

COVID-19 and your deal: Considerations for underwriters in the COVID-19 environment

White & Case LLP on

COVID-19 presents novel issues for underwriters, who are grappling with the need to support their clients accessing funding and also maintain disclosure standards and manage their risk when the typical tools that they use to...more

White and Williams LLP

Direct Listings: Capital Liquidity, Liability and D&O Insurance Coverage Considerations

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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

Akin Gump Strauss Hauer & Feld LLP

It’s OK, Capital Markets Associates, You (Probably) Haven’t Lost a Day to Get to Closing

Akin Gump Strauss Hauer & Feld LLP on

As we noted in a previous blog, the SEC recently adopted an amendment to Rule 15c6-1(a) to shorten the standard settlement cycle for most broker-dealer transactions from three business days after the trade date (T+3) to two...more

WilmerHale

2016 IPO Report

WilmerHale on

Our 2016 IPO Report offers a detailed analysis of, and outlook for, the IPO market, plus useful IPO market metrics. We look at rates of adoption of JOBS Act relief by emerging growth companies, and recent FAST Act amendments...more

Adler Pollock & Sheehan P.C.

Glossary of Important Securities Regulation Terms and Definitions

Adler Pollock & Sheehan P.C. on

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

Skadden's 2013 Insights: Capital Markets

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2012 was a robust year for both the U.S. leveraged loan and high-yield markets, including record-breaking deal volume for the latter. These conditions provided fertile ground for borrowers and issuers in U.S. markets to fund...more

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