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The Short Field Guide to IPOs

USA - December 19 2017 For many years, most successful companies followed a relatively predictable capital-raising path. A lot has changed. The companies that tend to pursue…

James R. Tanenbaum, Lloyd S. Harmetz.

Many Paths for IPO Submissions

USA - December 19 2017 The following chart highlights the alternatives for emerging growth companies ("EGCs") and non-EGCs, and now the three paths for foreign private…

James R. Tanenbaum, Lloyd S. Harmetz.

Cryptocurrency Exchanges ‒ the New Front of the IRS War on Tax Evasion?

USA - December 19 2017 On November 29, 2017, the U.S. District Court for the Northern District of California dealt a partial blow to the U.S. Department of Justice and the…

James R. Tanenbaum, Lloyd S. Harmetz.

SEC Approves NYSE’s Proposed Amendment Limiting Issuance of Material News After Short Period of Time Following Trading Session

USA - December 15 2017 On December 4, 2017, the SEC approved the NYSE’s proposed amendment to Section 202.06 of the NYSE Listed Company Manual. The proposed amendment limits…

BDC surveys and other resources

USA - December 12 2017 The chart below summarizes the adviser fee structures for a representative sampling of BDCs based on fili…

Brian D. Hirshberg.