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The Securities and Exchange Commission recently announced the agenda for the upcoming meeting on September 27, 2021, of the SEC’s Small Business Capital Formation Advisory Committee.  The Committee will meet virtually, and the meeting will be a webcast on the SEC’s website.  The Committee will discuss pre-IPO investments and the role of cross-over investors in…

Alessandro Fenili and Carlo Raimondo, in their study and paper ESG and the Pricing of IPOs: Does Sustainability Matter, find a significant relationship between a discussion of ESG related issues and IPO pricing.  They performed textual analyses of 783 US IPOs completed during the period from 2012 through 2019 across various industries.  Given investor…

Securities and Exchange Commission Chair Gary Gensler was back on the Hill, this time testifying before the Subcommittee on Financial Services and General Government, US House Appropriations Committee.  During his testimony, Chair Gensler commented on five key capital markets trends, which included a discussion on IPO, SPAC and direct listing trends and policy implications.

In…

Global venture-backed fintech funding reached almost $23 billion in the first quarter of 2021, a 110% quarter-over-quarter increase, according to CB Insights’ latest report and webinar, The State of Fintech.  Accounting for the increased investment in fintech companies were 57 mega rounds, or financings, that raised over $100 million.  Overall, there were 614 fintech…

On May 19, 2021, the Securities and Exchange Commission (“SEC”) approved proposed rule changes submitted by The Nasdaq Stock Market LLC (“Nasdaq”) that allow companies to list in connection with a concurrent primary offering.  The approved rule allows a company that has not previously had its equity securities registered under the Securities Exchange Act of…

May 19, 2021 Webinar
12:00pm – 1:00pm EDT
Register here.

Please join Mayer Brown partners, Christopher Houpt, Brian Massengill, and Anna Pinedo, for the third session in the Banking & Financial Services Litigation webinar series.

This panel will discuss special purpose acquisition companies (SPACs), including:

  • An overview of the SPAC market and the SPAC

…

April 20 – 22, 2021 | Live Webinar
Register here.

Hosted by Mortgage Bankers Association (MBA), this three-day conference will combine four robust categories, including independent mortgage banking, secondary and capital markets, servicing, and technology into one event. The conference is intended for lenders and servicers, as well as technology, secondary market, and capital…

Acting Director of the Securities and Exchange Commission’s Division of Corporation Finance, John Coates, provided additional comments on SPACs on April 8, 2021.  Acting Director Coates noted the “unprecedented surge” in SPAC activity.  He focused his comments on the legal liability that attaches to disclosures made in connection with the de-SPAC transaction and, in particular,…

PLI’s Private Placements and Hybrid Securities Offerings 2021

April 19 – 20, 2021 Webinar
Register here.

Mayer Brown invites you to the Practising Law Institute’s Private Placements and Hybrid Securities Offerings 2021 virtual conference.

Private Placements and Hybrid Securities Offerings 2021 will focus on the changes to the exempt offering rules, including the changes…

On March 11, 2021, the SEC’s Investor Advisory Committee convened and hosted a panel discussion regarding special purpose acquisition companies (SPACs).  The panel aimed to shed light on the recent increase in SPAC activity, the risks associated with this increased activity, and potential policy implications.

Acting SEC Chair Allison Lee delivered opening remarks.  She noted…