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Capital Raising › Broker-Dealer › Investment

Williams Mullen

PODCAST: Williams Mullen's Raising Capital 101: A Securities Podcast - What are the Different Ways Securities Can Be Offered and...

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On this episode of Raising Capital 101, Tom Voekler is joined by colleague Rhys James for the second half of our two-part series, to continue discussing different ways securities can be bought and sold, focusing on using...more

DarrowEverett LLP

Using an Unregistered Broker-Dealer for Capital Raising is a Risky Proposition

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One of the most overlooked and problematic issues concerning capital raising by small businesses, venture capital funds, and private equity funds is the use of “finders” to assist issuers with raising capital. Those who act...more

King & Spalding

SPAC Sweeps: FINRA Releases Guidance After Announcing Its Latest Series of Targeted Exams

King & Spalding on

After a period of astounding growth in the special purpose acquisition company (SPAC) market, FINRA recently joined the SEC in announcing further scrutiny of broker-dealers and their affiliates involved in SPAC offerings,...more

Wyrick Robbins Yates & Ponton LLP

Founders, Finders and Financings: Beware the Unregistered Broker-Dealer

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Raising money is hard. Many founders think that it’ll be easy, and that a dozen investors will be lining up outside the room after their first pitch with term sheets in hand. ...more

Orrick, Herrington & Sutcliffe LLP

Direct Listings May Pose Challenges for Cash Intensive Life Sciences Companies

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Are direct listings a viable potential alternative for all companies seeking to go public?  The answer may likely be no, especially for early stage life sciences companies that are not household names. ...more

Troutman Pepper

Crowdfunding Regulations

Troutman Pepper on

On October 30, 2015, the Securities and Exchange Commission (SEC) adopted final crowdfunding rules. More than two years after the publication of the proposed crowdfunding rules, the SEC approved regulations that permit...more

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