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Updated FINRA Regulations on Corporate Action Notification Process
Securities

Updated FINRA Regulations on Corporate Action Notification Process

Commencing on June 3, 2023, the Financial Industry Regulatory Authority (FINRA) will introduce changes to the procedure for submitting a Company-Related Action Notification form. This form initiate...

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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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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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Refinements to Rule 10b5-1 Insider Trading Regulations Adopted by the SEC
Securities

Refinements to Rule 10b5-1 Insider Trading Regulations Adopted by the SEC

The Securities and Exchange Commission (SEC) took steps on December 14, 2022, to bolster Rule 10b5-1 under the Securities Exchange Act of 1934, better known as the "Exchange Act". These changes wer...

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Assessing the Micro-Cap IPO Market in 2022: Trends, Challenges, and Sector Performance
Securities

Assessing the Micro-Cap IPO Market in 2022: Trends, Challenges, and Sector Performance

Throughout 2022, while larger capital markets experienced a slowdown, the Micro-Cap IPO marketplace remained relatively active. In this blog post, we analyze the state of the Micro-Cap IPO market i...

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The Record Number of Terminated SPAC Deals in 2022: An In-depth Analysis
Securities

The Record Number of Terminated SPAC Deals in 2022: An In-depth Analysis

As we approach the end of 2022, one of the most striking trends in the Special Purpose Acquisition Company (SPAC) market has been the record number of terminated SPAC deals. This is a significant s...

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Unveiling the SEC's Redefined Concept of a "Dealer"
Securities

Unveiling the SEC's Redefined Concept of a "Dealer"

In the wake of relentless legal battles involving small-cap and penny stock convertible debt lenders, the SEC has put forth changes aimed at modifying the concept of a “dealer” as per the Excha...

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The SEC's Strategic Blueprint for 2022-2026: A Summary and Perspective
Securities

The SEC's Strategic Blueprint for 2022-2026: A Summary and Perspective

The SEC announced its proposed strategic blueprint for the period of 2022-2026 on August 24, 2022, and invited the public to comment on the proposal. The plan reveals three primary objectives: (i) ...

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The Resilience of the Micro-Cap IPO Market: A Closer Look at Q3 2022
Securities

The Resilience of the Micro-Cap IPO Market: A Closer Look at Q3 2022

While the larger capital markets experienced a slowdown, the micro-cap marketplace maintained its momentum during the third quarter of 2022 (Q3). In this blog post, we explore the state of the Micr...

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Recent Articles

UNDERSTANDING STRUCTURED FINANCE OPINIONS: TRUE SALE AND NON-CONSOLIDATION
Corporate Finance
UNDERSTANDING STRUCTURED FINANCE OPINIONS: TRUE SALE AND NON-CONSOLIDATION
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ANALYZING LEGAL IMPLICATIONS OF DIGITAL TRANSFORMATION IN PUBLIC FINANCE
Public Finance
ANALYZING LEGAL IMPLICATIONS OF DIGITAL TRANSFORMATION IN PUBLIC FINANCE
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KEY FACTORS IN STRUCTURING SPECIAL ASSESSMENT DISTRICTS FOR PUBLIC INFRASTRUCTURE FINANCING
Public Finance
KEY FACTORS IN STRUCTURING SPECIAL ASSESSMENT DISTRICTS FOR PUBLIC INFRASTRUCTURE FINANCING
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