All IPOs articles
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ArticleFINRA 2022 exam report highlights Reg BI compliance, AML trends, more
The Financial Industry Regulatory Authority’s annual report on examinations and risk monitoring contains insights on issues the organization uncovered regarding broker-dealers’ compliance with Regulation Best Interest during the rule’s first full year in existence.
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ArticleSPACs are big-risk, big-reward investments that can give compliance fits
Once a moribund and little-used method to bring a private company public, SPACs dominated the market in 2020 and the first three months of this year. With the trend have come new risks for compliance.
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ArticleSEC’s ‘test-the-waters’ rule could be boon for future IPOs
The SEC has adopted a rule that allows companies interested in potentially going public to gauge interests in IPOs, instead of just emerging growth companies covered under the current rule.
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Blog
CII: Lyft’s planned share structure harms investors
The Council of Institutional Investors is expressing “deep concern” about Lyft’s initial public offering filing, because it implemented a dual-class share structure lacking “sunset provisions to unwind it within a reasonable time period.”
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Article
The many compliance lessons of Tesla
One simple tweet from Tesla’s outspoken founder speaks to volumes of compliance and regulatory concerns.
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Blog
Tasers, subsidy fraud, and Kobe Steel
Title: IPOs, subsidy fraud, and Kobe In case you missed it this week, e-Commerce company Stitch Fix filed for an IPO, the Czech candidate for PM is slated to win despite fraud charges, and Japan’s corporate compliance takes another hit.
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Blog
Could revenue rule chill IPOs in 2018? Poll suggests maybe
A Deloitte poll suggests new revenue recognition accounting requirements taking effect next year may put a chill on initial public offerings.
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Blog
Exchanges say ‘no’ to non-voting shares
In response to pressure from investor advocates, exchanges are pushing soon-to-be public companies away from multi-class IPOs that reduce, if not eliminate, shareholder control with non-voting shares.
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Blog
SEC extends non-public, pre-IPO filings to all companies
The SEC will expand a benefit offered to emerging growth companies and permit all companies to submit draft registration statements relating to initial public offerings for review on a non-public basis.
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ArticleWith a new chairman, SEC readies its focus on IPOs, capital formation
Expect a focus on capital formation and improving the stagnant marketplace for public offerings under new SEC Chairman Jay Clayton.
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ArticleGone in a snap? Tech IPO swipes away shareholder voting
The decision by the founders of Snap, parent company of Snapchat, to issue no-vote shares has riled critics and surfaced new corporate governance concerns.