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Examining the Resilient State of the Micro-Cap IPO Market in Q1 2023
Securities

Examining the Resilient State of the Micro-Cap IPO Market in Q1 2023

The Micro-Cap IPO marketplace started 2023 on a strong note, as 23 issuers successfully conducted their initial public offerings (IPOs) in the first quarter (Q1). Despite some variations in compari...

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Transforming the Veil of Private Company Ownership: A Closer Look
Securities

Transforming the Veil of Private Company Ownership: A Closer Look

This article discussed the Financial Crimes Enforcement Network's (FinCEN) proposed beneficial ownership reporting requirements for private companies. This proposal was put forward in December 2021...

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SEC Priorities Unveiled at SIFMA's 2023 C&L Annual Seminar
White Collar

SEC Priorities Unveiled at SIFMA's 2023 C&L Annual Seminar

The Securities Industry and Financial Markets Association (SIFMA) recently hosted its Compliance & Legal Annual Seminar for 2023 in San Diego. The event, a cornerstone for legal and compliance ...

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Accelerating the Pace of Enforcement Actions Across Multiple Agencies
White Collar

Accelerating the Pace of Enforcement Actions Across Multiple Agencies

In a recent session at the ABA White Collar Crime Conference, key figures from the Department of Justice (DOJ), Securities and Exchange Commission (SEC), U.S. Attorney's Office for the Southern Dis...

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Decoding the 211 Regulations and Shell Companies: A Legal Perspective
Securities

Decoding the 211 Regulations and Shell Companies: A Legal Perspective

The Securities and Exchange Commission (SEC) introduced significant amendments to the 15c2-11 rules back in September 2020. The revised regulations, better known as the 211 rules, came into force o...

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SEC Rulemaking Agenda - What to Expect in 2023
White Collar

SEC Rulemaking Agenda - What to Expect in 2023

The U.S. Securities and Exchange Commission (SEC) pursues an extensive rulemaking agenda each year that shapes the regulatory landscape for public companies, investment firms, advisors and brokers ...

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Embracing the Digital Wave: The Rise of Digital Assets and Its Impact on Public Finance
Public Finance

Embracing the Digital Wave: The Rise of Digital Assets and Its Impact on Public Finance

As we move forward in 2023, we are witnessing a digital revolution that is redefining the financial landscape. At the forefront of this revolution are digital assets, which include cryptocurrencies...

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New York's Latest Legal Mandate: Employers Must Disclose Surveillance Activities to Staff
White Collar

New York's Latest Legal Mandate: Employers Must Disclose Surveillance Activities to Staff

In an era where technology is deeply integrated into the workplace, New York has taken a significant step to protect employee privacy. Effective from May 7, 2022, New York's newly enacted statute, ...

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Proposed UCC Amendments for Cryptocurrencies, NFTs, and Electronic Money: What Every Lawyer Needs to Know
Corporate Finance

Proposed UCC Amendments for Cryptocurrencies, NFTs, and Electronic Money: What Every Lawyer Needs to Know

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Insider Trading Cases to Watch in 2023
White Collar

Insider Trading Cases to Watch in 2023

Insider trading remains among the top enforcement priorities for both the U.S. Securities and Exchange Commission (SEC) and Department of Justice (DOJ). Major insider trading prosecutions often gra...

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Recent Articles

Auditor Market Share in Micro-Cap IPOs (Jan-Feb 2025)
DataDesk
Auditor Market Share in Micro-Cap IPOs (Jan-Feb 2025)
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Navigating the Complexities of Down-Round Financing:  Protecting Stakeholder Interests
Corporate Finance
Navigating the Complexities of Down-Round Financing: Protecting Stakeholder Interests
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Understanding Post-Default Scenarios in Corporate Finance Transactions:  Navigating Uncertainty in 2024
Corporate Finance
Understanding Post-Default Scenarios in Corporate Finance Transactions: Navigating Uncertainty in 2024
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