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A comparison of FINRA proposed Rule 2241 (equity) v. proposed Rule 2242 (debt)

USA - March 20 2015 In November 2014, and further amended in February 2015, FINRA announced a comprehensive revision of the equity research rule currently numbered as...


2014 in IPOs

USA - December 30 2014 According to Renaissance Capital, there were 273 IPOs that raised $85 billion of gross proceeds. The number of offerings in 2014 increased by nearly...


Securities regulation legislation in the coming 114th Congress

USA - December 16 2014 If the current 113th Congress is any measure, we can expect the coming 114th Congress to introduce and promote bills seeking, among other matters, to...


FINRA proposes changes to the equity research analyst and equity research report rule

USA - December 15 2014 On November 18, 2014, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change with the Securities and Exchange...


Waivers of IPO lock-up

USA - November 26 2014 We have previously commented on the lock-up requirement in connection with IPOs and noted that it has become somewhat more frequent for underwriters...