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Category: Securities Regulation

IPOs Surge While Market Tightens, But Opportunities Remain

Posted by John J. Mahon and Eleazer Klein, Schulte Roth & Zabel LLP, on Sunday, November 29, 2020 Editor's Note: John J. Mahon and Eleazer Klein are partners at Schulte Roth & Zabel LLP. This

Expanding Opportunities for Investors and Retirees: Private Equity

Posted by Hal S. Scott (Harvard Law School) and John Gulliver (Program on International Financial Systems), on Monday, September 21, 2020 Editor's Note: Hal S. Scott is the Emeritus Nomura Professor of International Financial Systems

Comment Letter on Control Shares Statutes and Registered Investment Companies

Posted by Phillip Goldstein, Bulldog Investors, on Saturday, August 8, 2020 Editor's Note: Phillip Goldstein is the co-founder of Bulldog Investors. This post is based on his letter to the SEC Division of Investment Management.

SEC Identifies Private Fund Deficiencies

Posted by Brian T. Daly and Marc E. Elovitz, Schulte Roth & Zabel LLP, on Monday, July 27, 2020 Editor's Note: Brian T. Daly and Marc E. Elovitz are partners at Schulte Roth & Zabel

Navigating Down-Round Financings

Posted by Steve Bochner, Amy Simmerman and Becki DeGraw, Wilson Sonsini Goodrich & Rosati, on Tuesday, May 12, 2020 Editor's Note: Steve Bochner, Amy Simmerman and Becki DeGraw are partners at Wilson Sonsini Goodrich &

Going Private Transactions

Posted by Warren S. de Wied, Philip Richter, and Robert C. Schwenkel, Fried, Frank, Harris, Shriver & Jacobson LLP, on Saturday, April 18, 2020 Editor's Note: Warren S. de Wied, Philip Richter, and Robert C.

Purchasing Portfolio Company Debt—Threshold Issues for Private Equity Sponsors

Posted by William Chudd, Sartaj Gill, and David Schnabel, Davis Polk & Wardwell LLP, on Wednesday, April 8, 2020 Editor's Note: William Chudd, Sartaj Gill, and David Schnabel are partners at Davis Polk & Wardwell LLP.

Filling the Sponsor PIPE-line

Posted by Daniel E. Wolf, Kirkland & Ellis LLP, on Sunday, April 5, 2020 Editor's Note: Daniel E. Wolf is a partner at Kirkland & Ellis LLP. This post is based on his Kirkland &

Financial Institution Developments

Posted by Edward D. Herlihy and Richard K. Kim, Wachtell, Lipton, Rosen & Katz, on Monday, February 17, 2020 Editor's Note: Edward D. Herlihy and Richard K. Kim are partners at Wachtell, Lipton, Rosen &

Together but Separate: Private Equity Funds Liability for Portfolio Company Pension Obligations

Posted by Rick Giovannelli and Ali U. Nardali, K&L Gates LLP, on Sunday, December 15, 2019 Editor's Note: Rick Giovannelli and Ali U. Nardali are partners at K&L Gates LLP. This post is based on

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