News & Analysis as of

Guidance Update Securities and Exchange Commission (SEC) Initial Public Offering (IPO)

Fenwick & West LLP

SEC Issues Updated Guidance on Confidential IPO Submissions

Fenwick & West LLP on

On July 1, 2024, the U.S. Securities and Exchange Commission (SEC) issued updated guidance regarding the voluntary submission of draft registration statements for nonpublic review by the agency....more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - December 2024

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Latham & Watkins LLP

SEC Approves Amendments to FINRA’s New Issue Rules

Latham & Watkins LLP on

The amendments expand certain exemptions and provide additional guidance under Rules 5130 and 5131 with respect to equity IPO allocations. On December 19, 2019, the Financial Industry Regulatory Authority (FINRA) issued...more

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