capital markets

45 results for: capital markets

December 18, 2024

SEC Publishes Updated Fall 2024 Reg-Flex Agenda

By Merritt Steele

The U.S. Securities and Exchange Commission (SEC) recently published its Fall 2024 Reg-Flex Agenda. The SEC updated the anticipated...

December 18, 2024

SEC Publishes Updated Fall 2024 Reg-Flex Agenda

By Merritt Steele

The U.S. Securities and Exchange Commission (SEC) recently published its Fall 2024 Reg-Flex Agenda. The SEC updated the anticipated...

December 03, 2024

Is the SEC Cracking Down on Life Science Companies Misleading Investors?

By Merritt Steele

On December 3, the U.S. Securities and Exchange Commission settled charges against biotherapeutics company Kiromic BioPharma, Inc., its...

December 03, 2024

Is the SEC Cracking Down on Life Science Companies Misleading Investors?

By Merritt Steele

On December 3, the U.S. Securities and Exchange Commission settled charges against biotherapeutics company Kiromic BioPharma, Inc., its...

November 27, 2024

New Structured Data Requirement for Schedules 13D/13G Takes Effect Dec. 18

By Merritt Steele

Beginning December 18, Schedules 13D and 13G must be filed using an XML-based language. Filers will have the option of (1) using a...

November 27, 2024

New Structured Data Requirement for Schedules 13D/13G Takes Effect Dec. 18

By Merritt Steele

Beginning December 18, Schedules 13D and 13G must be filed using an XML-based language. Filers will have the option of (1) using a...

October 02, 2024

SEC Charges Biotech Co. with Misleading IPO Investors

By Merritt Steele

On September 13, the SEC charged Zymergen Inc., a biotechnology company, with misleading IPO investors about the company’s market...

October 02, 2024

SEC Charges Biotech Co. with Misleading IPO Investors

By Merritt Steele

On September 13, the SEC charged Zymergen Inc., a biotechnology company, with misleading IPO investors about the company’s market...

September 30, 2024

SEC Charges Coffee Pod Co. Over Recyclability Claims

By Merritt Steele

On September 10, the SEC charged Keurig with making inaccurate statements regarding the recyclability of K-Cups. According to the SEC’s...

September 30, 2024

SEC Charges Coffee Pod Co. Over Recyclability Claims

By Merritt Steele

On September 10, the SEC charged Keurig with making inaccurate statements regarding the recyclability of K-Cups. According to the SEC’s...

September 27, 2024

SEC Settles Seven Whistleblower Protection Actions

By Merritt Steele

On September 9, the SEC settled charges against seven public companies for violations of the whistleblower protection rule. According to...

September 27, 2024

SEC Settles Seven Whistleblower Protection Actions

By Merritt Steele

On September 9, the SEC settled charges against seven public companies for violations of the whistleblower protection rule. According to...

September 26, 2024

SEC Enforcement Sweep for Late Sections 13 and 16 Reports

By Ran Ben-Tzur, Amanda Rose, David Bell, Merritt Steele

On September 25, the Securities and Exchange Commission (SEC) announced that it had charged 23 entities and individuals for failure to...

September 26, 2024

SEC Enforcement Sweep for Late Sections 13 and 16 Reports

By Ran Ben-Tzur, Amanda Rose, David Bell, Merritt Steele

On September 25, the Securities and Exchange Commission (SEC) announced that it had charged 23 entities and individuals for failure to...

September 25, 2024

Form 4 Code J Transactions Under Scrutiny

By Merritt Steele

The Harvard Business Law Review recently published an article entitled “Insider Trading by Other Means” by an influential research group,...

September 25, 2024

Form 4 Code J Transactions Under Scrutiny

By Merritt Steele

The Harvard Business Law Review recently published an article entitled “Insider Trading by Other Means” by an influential research group,...

September 25, 2024

Key Considerations for New Insider Trading Disclosures

By Merritt Steele

The following new SEC insider trading disclosures will be required in companies’ upcoming Forms 10-K (FY 2024) and/or proxy statements:...

September 25, 2024

Key Considerations for New Insider Trading Disclosures

By Merritt Steele

The following new SEC insider trading disclosures will be required in companies’ upcoming Forms 10-K (FY 2024) and/or proxy statements:...

September 23, 2024

CEO Ousters Hit Record Numbers

By Merritt Steele

According to research firm Exechange, 74 chief executive officers have been fired or forced out this year, which is the highest number...

September 23, 2024

CEO Ousters Hit Record Numbers

By Merritt Steele

According to research firm Exechange, 74 chief executive officers have been fired or forced out this year, which is the highest number...

September 18, 2024

Investor Coalition for Equal Votes Targets Dual-Class Structures

By Merritt Steele

Recently, the Investor Coalition for Equal Votes (ICEV) has been sending letters to private companies requesting a meeting to discuss...

September 18, 2024

Investor Coalition for Equal Votes Targets Dual-Class Structures

By Merritt Steele

Recently, the Investor Coalition for Equal Votes (ICEV) has been sending letters to private companies requesting a meeting to discuss...

September 16, 2024

Considerations for Upcoming 10-Q Disclosures

By Merritt Steele

With the end of the third quarter quickly approaching, companies may want to consider the following for their upcoming Quarterly Reports...

September 16, 2024

Considerations for Upcoming 10-Q Disclosures

By Merritt Steele

With the end of the third quarter quickly approaching, companies may want to consider the following for their upcoming Quarterly Reports...