by Robert R. Kaplan, Jr. | Oct 27, 2020 | Securities
The Securities and Exchange Commission has proposed loosening the restrictions on finders —people who, for a fee, introduce potential investors to securities issuers— in a move that could have a significant impact on capital formation strategies for many smaller...
by Chip Cunningham | Sep 22, 2020 | Securities
The COVID-19 pandemic may have put a damper on business activity this summer, but it didn’t motivate the U.S. Securities and Exchange Commission to delay the June 30th compliance deadline for Regulation Best Interest. SEC Regulation Best Interest, which became...
by Rajiv Radia | Sep 8, 2020 | Securities
“Emerging growth company” is sometimes used generically in the business community and media to describe an early-stage company–usually in a startup-heavy sector like technology or life sciences. Yet an emerging growth company, or EGC, is actually a very specific and...
by Rajiv Radia | Jul 29, 2020 | Securities
As with the public markets, the alternative investment industry has been buffeted by uncertainty since the onset of the COVID-19 pandemic and the economic turmoil that has accompanied it. With the first half of the year now past, a clearer picture is emerging of the...
by Robert R. Kaplan, Jr. | Jan 22, 2020 | Securities
As a company speeds toward the market for a public offering, the advantages may seem almost self-evident: The public trading markets are the most efficient venue for accessing capital, and they can allow profound future growth for an enterprise. Yet companies should...
by Robert R. Kaplan, Jr. | Nov 12, 2019 | Securities
For business leaders considering an initial public offering, one of the key questions is: How large should the IPO be? Many associate IPO’s with hundreds of millions of dollars or billion-dollar valuations. Certainly, “bigger is better” generally applies to the...
