Monday, September 21, 2020 and Tuesday, September 22, 2020
Register here.

The PLI Pocket MBA is for attorneys representing clients in the financial industry. This two-day program is designed to improve your understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers.

Partner Jen Carlson, co-chair of the event,

On August 31, 2020, the Securities and Exchange Commission (the “SEC”) notified the New York Stock Exchange (the “NYSE”) that it received a notice of intention to petition for review of the NYSE’s recently approved rule (see our prior post) that would allow companies to conduct limited primary sales concurrent with a direct listing.  

On August 26, 2020, the Securities and Exchange Commission (the “SEC”) approved the proposal submitted by the New York Stock Exchange (“NYSE”) that allows companies to conduct concurrent primary offerings as part of a direct listing on that exchange.  A company may issue new shares and sell them to the public on its first trading

CBInsights recently hosted a webcast, The State of Healthcare Q2 2020. Capital raising by companies in the global healthcare sector yielded a historic high of $18.1 billion in the second quarter of 2020, and deal volume rose 6% quarter-over-quarter. Total funding was boosted by six mega-rounds, or capital raises over $100 million, in the regenerative

PIPE transactions continue to be a popular capital raising approach for companies.  Through July 31, 2020, companies have raised over $47.2 billion in 779 PIPE transactions.  Healthcare and life sciences companies raised almost $11 billion in PIPE transactions.  Technology and industrials companies also raised significant amounts of capital, totaling $10.1 billion and $9.2 billion, respectively.

Maybe still the single best measure ever adopted in order to facilitate capital formation, the shelf registration statement provides an issuer with the most flexibility to take advantage of windows of opportunity and to access the capital markets quickly and efficiently.  We discuss eligibility to use a shelf registration statement, the shelf registration process, and

PIPE transactions were created to be an effective capital raising approach for public companies when there were few, if any, other satisfactory financing alternatives. While there are now a number of other confidentially marketed securities offering methodologies, for the reasons discussed in this article, PIPE transactions may be the most efficient or only alternative for

Late last week, the House Appropriations Committee approved a bill that addresses the budgets for among other agencies, the Securities and Exchange Commission.  While the bill would authorize an increase in the SEC budget for fiscal year 2021, it comes with strings.  The bill contains a section, Section 540 (repeated below), which would condition spending

The first quarter 2020 PwC/CB Insights MoneyTree Report for the first quarter of 2020 provides insights on the level of venture funding.

US venture capital deal activity has declined for three straight quarters, with 1,533 deals raising $28.6 billion, 1,399 deals raising $23.3 billion, and 1,271 deals raising $26.4 billion raised, respectively, in each of

As we had previously blogged, the Securities and Exchange Commission will hold its Small Business Forum on June 18, 2020, virtually.  While the annual program always addresses critical capital formation issues, this year’s agenda promises to bring fresh perspectives and touch on timely topics, including supporting women entrepreneurs, building companies in rural communities that may