Free Writings + Perspectives provides news and views on securities regulation and capital formation. The blog provides up to the minute news regarding securities law developments, particularly related to capital formation, as well as commentary regarding developments affecting private placements, mezzanine or "late stage" private placements, PIPE transactions, IPOs and the IPO market, and new financial products.
Articles: 1-10 of 490
California Board Diversity Laws Struck Down by Court
USA - May 21 2022 In a little over a month’s time, the Superior Court of California (the “Superior Court”) struck down both AB 979 and SB 826, California’s two board…
What’s the Deal? - Structured Certificates of Deposit
USA - May 17 2022 Structured certificates of deposit are Financial Instruments representing a deposit of a specified amount of money for a fixed period of time. Unlike…
Call for SEC Hearing
USA - May 9 2022 On May 5, 2022, Congressman McHenry, the senior Republican on the House Financial Services Committee, and Congressman Huizenga, the senior Republican…
SEC Extends/Reopens Comment Periods for Certain Rulemakings, Including The Enhancement and Standardization of Climate-Related Disclosures for Investors
USA - May 9 2022 The US Securities and Exchange Commission (SEC) rulemaking process has received much attention under Chair Gensler’s leadership not only because of…
Sample Letter to Companies Regarding Disclosures Pertaining to Russia’s Invasion of Ukraine and Related Supply Chain Issues
Russia, Ukraine, USA - May 5 2022 The Staff of the US Securities and Exchange Commission’s Division of Corporation Finance released a sample comment letter that provides guidance…
Recalibrating Regulation of Private Markets?
USA - May 2 2022 In various public statements of late, representatives of the Securities and Exchange Commission have noted concern regarding the growth of the…
Notable Trends in the Private Markets
USA - April 11 2022 The private market ecosystem experienced strong growth in 2021. The number of recognized unicorns (defined as private companies having $1B+ valuation)…
SEC Proposes New SPAC Rules
USA - March 30 2022 On March 30, 2022, the SEC announced proposed rules regarding SPACs and the use of projections. The proposed rules would require expanded disclosures…
SEC Proposes to Exorcise the Investment Grade Rating Exemption from Regulation M
USA - March 25 2022 The SEC, today, proposed amendments that would remove the investment grade rating exemptions from Rules 101(c)(2) and 102(d)(2) of Regulation M. The…
New SEC CD&Is Impacting Mergers and Acquisitions
USA - March 24 2022 On March 22, 2022, the staff (Staff) of the US Securities and Exchange Commission (SEC) issued six compliance and disclosure interpretations (CD&Is)…
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