Insider Trading, Initial Public Offering (IPO), Disclosure Requirements

UK Corporate Briefing - April 2025

BCLP on 4/1/2025

Welcome to the Corporate Briefing, where we review the latest developments in UK corporate law that you need to know about....more

Broker Dealer Regulatory Digest - December 2024

Davis Wright Tremaine LLP on 12/15/2023

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

SEC Enforcement Continues SPAC Crackdown as Founder Trading Profits Generate Scrutiny

Holland & Knight LLP on 6/15/2023

Despite the frothy market for special purpose acquisition companies (SPACs) in 2021, companies considering such a transaction have been met recently with significant market headwinds, a short supply of suitable targets, the...more

Blog: Early SEC Enforcement Trends from Chairman Gary Gensler’s First 100 Days

Cooley LLP on 7/29/2021

Gary Gensler was sworn in as chair of the Securities and Exchange Commission on April 17, 2021. Chairman Gensler has promised to strengthen transparency and accountability in the financial markets. Under Chairman Gensler, we...more

The Beginning of the SPAC Enforcement Wave: SEC Makes Example of SPAC for Spacing out on Diligence

Pillsbury Winthrop Shaw Pittman LLP on 7/16/2021

Chair Gensler’s enforcement agenda begins to take shape as SEC brings sprawling enforcement action against wide range of SPAC participants. Consistent with prior SEC warnings regarding incentives for Special Purpose...more

SEC Takes Aim at SPACs

Pillsbury Winthrop Shaw Pittman LLP on 4/19/2021

March Madness extends into April as the Commission markedly increases its focus on SPACs. Surprise pronouncements call into question use of the PSLRA safe harbor for projections and accounting treatment for warrants....more