FINRA’s 2020 Risk Monitoring and Examination Priorities Letter identifies a number of areas of focus for the examination program in the coming year.  Here we highlight particular areas of focus for capital markets practitioners:

  • Private placement retail communications and online distribution platforms:  FINRA will review how member firms use social media and other platforms in

Tuesday, January 28, 2020
9:00 a.m. – 9:30 a.m. Registration/Breakfast
9:30 a.m. – 11:00 a.m. Program

To register, please click here.

While the IPO market remains active, companies continue to raise large sums of private capital through late stage private placements, with companies now taking an average of seven years to IPO. However, late stage

The financing environment for startup companies in the technology sector has changed substantially over the last few years. As evidenced by findings in CB Insights’ latest report, The 2020 Tech IPO Pipeline, tech companies have raised more funding than ever before by accessing the private venture markets. These startups reach unicorn status well before

The Securities and Exchange Commission’s Division of Economic Risk Analysis (DERA) recently published the first Economic and Risk Outlook. The release coincided with the SEC’s December 4, 2019 conference on the State of the Securities Markets. The report addresses a number of macroeconomic indicators. The report notes elevated borrowing offset by positive economic growth, high

November 4–6, 2019

Location
Convene
117 West 46th Street
New York, NY 10036

The Institute on Securities Regulation brings together the nation’s leading securities and corporate legal experts to deliver practical information, insights and real-world strategies and solutions to the challenges facing you and your clients today.  Mayer Brown along with the Practicing Law Institute

Thursday, October 24, 2019
3:00PM-6:00PM

Please join Mayer Brown at IFR’s US ECM Roundtable 2019. Now in its eighth year, the event will bring together a panel of the most senior ECM practitioners to assess the current state of the market, discuss the latest trends and developments and provide an outlook for the remainder of

The third quarter of 2019 saw a slight decrease in venture private capital funding levels according to PwC and CB Insights’ recently published MoneyTree report. Approximately $25.9 billion was raised across 1,304 deals, bringing total capital raised in 2019 to $83 billion.

Staying private longer. Companies have taken advantage of raising large amounts of

Thursday, October 24, 2019
3:00PM-6:00PM

Please join Mayer Brown at IFR’s US ECM Roundtable 2019. Now in its eighth year, the event will bring together a panel of the most senior ECM practitioners to assess the current state of the market, discuss the latest trends and developments and provide an outlook for the remainder of