Capital Markets Archive » December, 2020

Capital Markets - December, 2020

219 articles

• The Most-Read Securities Law360 Guests Of 2020
• The Most-Read Legal Industry Guests Of 2020
• 23-Year-Old Crypto Trader Lied To Investors, SEC Claims
• SEC Chair Jay Clayton Formally Exits Amid Year-End Bustle
• How 2020 Changed The Way Companies Go Public
• SEC Urges Blank-Check Companies To Bolster Disclosures
• 4 Firms Assemble SPAC Deal Creating $12.5B Asset Manager
• Pulling Up Stakes: Baker Botts, Gibson Dunn, Latham
• A Law Firm's Guide To Producing A Podcast
• SEC Overhauls Marketing Rules For Investment Advisers
• Ex-Mt. Gox Exchange CEO Can't Appeal In Fraud Suit
• SEC Investment Chief Who Led Key Reg Agenda To Depart
• SPAC Go-Public Deal Values Manufacturer Janus At $1.9B
• SEC Allows NYSE Cos. To Sell Shares In Direct Listings
• Latham, White & Case Drive $1.9B SPAC Deal For Lidar Co.
• Fed Orders Credit Suisse To Beef Up AML Compliance
• How Corporate Transparency Act Could Benefit Finance Cos.
• Structured Finance Group Of The Year: Sidley
• 5 Important E-Discovery Trends And Developments In 2020
• SEC Takes Defiant Ripple To Court Over $1.4B In Token Sales
• 2020 Bankruptcy Trends And Sectors To Watch In 2021
• Securities Standards Setter Chief To Depart In February
• Annual Defense Bill Extends SEC's Disgorgement Shot Clock
• Fox Rothschild Fights Publisher's Sanctions Bid
• 16 New Blank-Check Co. IPO Filings Bolster 2021 Pipeline
• Investment Adviser In Fraud Case Ordered To Return $255K
• FinCEN Aims To Fill Crypto Reporting Gaps Despite Pushback
• $2B Venezuelan Bond Enforcement Must Proceed, Judge Told
• House Wish List Hints At Financial Services Priorities
• Canopy Growth Splits From VC Arm After $231M Deal
• Structured Finance Group Of The Year: Mayer Brown
• SPACs Should Consider Targeting Bankruptcy Sales
• Exchange Act Amendments Would Bolster SEC Enforcement
• Judges On Race: The Path To A More Diverse Bench
• ​​​​​​​SEC Chief Lauds Foreign Listings Law, Looks Ahead To Rules
• Countrywide, Ambac Spar Over Right To In-Person NY Trial
• SEC Pulls Out All The Stops In Latest Whistleblower Payouts
• Ch. 11 Examiner Will Look At Cred Inc. 'Shenanigans'
• Goodwin-Led Lab Device Maker's Shares Soar In $130M IPO
• SEC Delays Decision On Nasdaq's Direct Listing Proposal
• CFTC Official To Join NYSE As Chief Regulatory Officer
• 3 Firms Steer SPAC Tie-Up Forming $1B E-Commerce Fintech
• Judge Says Virus To Blame For Losses, Not TD Ameritrade
• M&T Case Revival Threatens Capital Markets, High Court Told
• Taxation With Representation: Freshfields, Wachtell, Simpson
• AML Whistleblower Rewards Law Could Be A Game Changer
• Structured Finance Group Of The Year: King & Spalding
• Experian Sued Over Timeshare Co.'s Alleged Account Fraud
• What To Expect From Biden's Financial Regulation Transition
• SEC Says Biotech Co. Duped Investors Over COVID-19 Tests
• Ex-Nomura Trader Avoids Jail Time In RMBS Fraud Case
• Coinbase Takes Key Step For Public Offering As Crypto Soars
• Fried Frank Guides Brookfield's $835M Manhattan CMBS Loan
• Crypto Investor Cred Inc. Says It's On Track For Ch. 11 Sale
• HK Regulators Push For Stronger Climate Disclosures By 2025
• Atty's Bid To Defeat EB-5 Malpractice Suit Denied
• Kirkland Guides Venture-Affiliated SPAC's $350M IPO
• Deals Rumor Mill: PT Tokopedia, Aon, Roblox
• 2nd Circ. Won't Review Aluminum Buyers' Cert. Denial
• Time To Prepare For California's New Consumer Finance Law
• Intel Misled Public About New Microchip, Del. Suit Says
• Structured Finance Group Of The Year: Kasowitz
• BarkBox Hits $1.6B Valuation In SPAC Deal Driven By 3 Firms
• Clean Energy Projects Dodge Pandemic's Wrath In 2020
• SEC Fines Robinhood $65M For 'Misleading' Customers
• EU Watchdogs Back Standard Setter For Green Disclosures
• FCA Sets Out MiFID Plan In Case Of No-Deal Brexit
• FINRA Fines Cetera $1M For Lapses Spotted First By SEC
• Fintech Lender, Biotech Startup Price IPOs Totaling $429M
• Fiduciary Exemption's Preamble, Rollout Create Questions
• Banks Go Back To Mat Against Odd-Lot Bonds Antitrust Suit
• Treasury Labels Vietnam, Switzerland Currency Manipulators
• Split SEC Approves Leaner Payment Disclosure Rules
• Gunderson, Cooley Steer E-Commerce Site Wish's $1.1B IPO
• Rosen Law Firm To Lead Consolidated Nikola Investor Suits
• 3 Firms Guide Space Telecom's $1.8B Go-Public Deal
• Luckin Coffee To Pay $180M To Settle SEC Fraud Claims
• Tron Wants 'Fatally Flawed' Securities Suit Tossed
• Structured Finance Group Of The Year: Dechert
• Tips For Identifying A Culturally Competent Mediator
• DOL Finalizes Fiduciary Exemption Regulations
• SEC Trading And Markets Director Redfearn To Leave Post
• Right To In-Person NY Trial Hangs Over $2B RMBS Case
• 2020 Marked By Blockbuster Compliance Cases, Milestones
• Justices' Goldman Review May Finally Offer Class Cert. Clarity
• FINRA Appoints Ex-SocGen CCO As Market Regulation Head
• Verano Valued At $2.8B In Go-Public Merger
• 5 Firms Guide SPAC Deal Creating $1.4B Car Technology Co.
• A Look At Spoliation Risk In The 11th Circ., By The Numbers
• Crypto Grifter Gets Year For Role In $36M Centra Tech Fraud
• SEC Pays Rare Compliance-Related Whistleblower Award
• SEC's Green Light On E-Signatures Will Improve Public Filings
• Defunct Bitcoin Exchange Mt. Gox CEO Fights Class Cert. Bid
• Brokerage Slapped With $8M Fine For 'Flying' And 'Printing'
• Ex-Nomura Trader Deserves 'Substantial' Jail Time, Feds Say
• E-Commerce Giant Wish To Lead 11 IPOs In Year's Final Rush
• PDVSA Unit Says Bondholders Must Wait To Collect $1.9B
• 4 Firms Rep Benefits Biz's $1.1B Takeover By Goldman Sachs
• US Trustee Urges No Financial Filing Extension For Cred Inc.
• Pot Grower Indus Says Wildfire Impacts Worse Than Expected
• SEC's Peirce Blasts Regs That 'Undercut' Personal Liberty
• Capital Markets Group Of The Year: Kirkland & Ellis
• Supreme Court To Hear Goldman Class Cert. Fight
• 9 Blank-Check IPOs Rake In $2B As SPAC Blitz Continues
• AMC Nabs $100M From Mudrick In Move To Avoid Bankruptcy
• Clifford Chance Nabs Securitization Veteran For Its DC Office
• Justices Seem Concerned Over FHFA Case Ramifications
• Va. Pastor's Wife Pleads Guilty In $2M Investment Scam
• Innoviz Valued At $1.4B In SPAC Deal Driven By 6 Firms
• Trump Taps Ex-WH Atty For Nonpartisan Regulatory Agency
• Blockvest, Founder Ordered To Pay $700K In ICO Fraud Suit
• Names To Watch As Biden Mulls Next SEC And CFTC Leaders
• Ex-Goldman Banker Says Feds Withholding 1MDB Evidence
• Defense Bill To Usher In New Era For Anti-Money Laundering
• Deals Rumor Mill: Robinhood, ChemChina, Omnicell
• 3 Firms Guide Cannabis Listings Co.'s $1.5B SPAC Tie-Up
• Capital Markets Group Of The Year: Simpson Thacher
• COVID-19 Concerns Won't Spring Jailed State Street Exec
• Crypto Developer Says Charges Trample Free Speech Rights
• SEC Enforcement Chief Avakian To Step Down At Year's End
• CFTC's Tarbert To Step Down As Chairman In 2021
• Libertarian Orgs Back Challenge To SEC Judges In 5th Circ.
• Latham-Led Airbnb Checks In To Public Market With $3.5B IPO
• Justices Scrutinize Remedies In FHFA Constitutionality Case
• Ex-Nanotech CEO Accused Of $12.2M Securities Fraud Scam
• Cooley, Fenwick-Led Tech Cos. Rake In $769M Via IPOs
• Crypto Founder Charged With Evading Taxes On Millions 
• SEC To Accelerate And Expand Public's Stock-Market Data
• Capital Markets Group Of The Year: Paul Weiss
• NYSE Affiliate Hit With $8M SEC Fine Over Pricing Data Flaws
• Santander To Pay Investors $47M Over IPO Statements
• Kirkland, Wachtell Rep Deal Forming $1.1B Skincare Co.
• SEC Fines GE $200M To Wrap Accounting Investigation
• COVID-19 Spurs Associates To Think Bigger — Like Partners
• Agencies' Joint Antitrust Focus May Spur Whistleblower Tips
• This Year's Top 8th Circ. Bankruptcy Decisions
• SBB Abandons $3.4B Takeover Bid For Property Biz Entra
• Investors Say Pot Sales Software Company Owes $1M
• Ex-CFTC Enforcement Head To Join Sullivan & Cromwell
• SEC Asked Why Convicted State St. Exec's Deal Lacks A Fine
• Wilson Sonsini, Goodwin Steer DoorDash's Smash $3.4B IPO
• CFTC OKs Electronic Trading Rules, Revises Bankruptcy Code
• SEC General Counsel To Leave Agency In January
• FBI Chief Wants Banks' Help Fighting COVID-19 Scams
• Colo. Hydroponics Biz Aims To Raise $125M In Stock Sale
• HSBC Bank Settles Gold Price-Fixing Class Action For $42M
• 4 Blank-Check Cos. Raise Combined $875M In IPOs
• Capital Markets Group Of The Year: Latham & Watkins
• GCs Are Uniquely Qualified To Lead Diversity Initiatives
• Hedge Fund BlueCrest To Pay $170M Over SEC Claims
• Bernstein Liebhard, Thornton Aim To Lead Xerox Spinoff Suit
• Former Sen. Paul Sarbanes, Co-Writer Of SOX, Dies At 87
• Feds Say Ex-Goldman Banker Can't Shake 1MDB Charges
• Wachtell-Guided Nasdaq Prices $1.9B Senior Notes Offering
• Latham-Led Airbnb Eyes $3B IPO With Price Range Increase
• Two Firms Steer Mortgage REITs' Tie-Up To Build $984M Co.
• SEC Tells Justices Not To Hear Challenge To In-House Judges
• Pot Biz Tilray Wants Investor Suit Over $180M Writedown Axed
• US Trustee Wants Outsider To Take Over Cred Inc. Ch. 11
• Gunderson-Guided E-Commerce Biz Wish Targets $1.06B IPO
• 3 Ways Defendants Can Nip Civil RICO Claims In The Bud
• DOJ Crypto Framework Signals Escalating Enforcement
• Simpson, Weil Lead SPAC Deal Forming $9B Fintech Co.
• Judges On Race: Reducing Implicit Bias In Courtrooms
• Fidelity Trial Wraps With Judge Questioning VP's Credibility
• SEC Approves Long-Awaited Revamp To Fund Valuation Rules
• NY Appeals Court Makes 1st Post-Cyan Securities Act Ruling
• Crypto Co. Status Research Seeks Nix Of Securities Suit
• Real Estate Rumors: Banesco, Morgan Stanley, Greybrook
• Financial Lobby Calls For 'Mandatory' Climate Disclosures
• PNC Bank Settles With EB-5 Investors In Fla. Hotel Fraud Suit
• 3 Biotech Cos. Raise $543M In Upsized Nasdaq Debuts
• DoorDash's New IPO Range Ups Potential Proceeds To $3.1B
• Capital Markets Group Of The Year: Cleary Gottlieb
• Pot Biz Ayr To Fund Expansions With $75M Debt Deal
• AMC Announces 200M Share Offering To Stave Off Ch. 11
• 3 Firms Power SPAC Deal Creating $1.35B Energy Storage Co.
• Tougher Oversight Looms For Hedge Funds Investing In PIPEs
• CFTC's Top Cop Says Cooperation Sends 'Powerful Message'
• $1.3B Nuix IPO One Of The Biggest For Legal Tech
• 2nd Circ. Affirms Penny Stock Broker's $12M SEC Fine
• Good Disclosure Requires More Enforcement, SEC Panel Told
• Fintech-Focused SPAC Leads 4 IPOs Totaling $1.35B
• Hemp Co., CEO Agree To Settle SEC Suit Over Alleged Fraud
• NY Appeals Court Unpauses IPO Suit Against Lender Qudian
• SEC's 'FinHub' To Become Stand-Alone Office Within Agency
• SEC Taps Nelson Mullins Partner To Lead Atlanta Office
• Virtu Can't Get $3.2M In Fees For 'First Class' Attys
• Deals Rumor Mill: Ant Group, JD Health, Apex Logistics
• Walmart's Flipkart To Partially Spin Off PhonePe, Raise $700M
• Outlook For Digital Assets May Improve In 2021
• Navigating Atty Relationship Conflicts That May Imperil Cases
• Engineering Co. WSP Grows Consulting Biz With $1.1B Deal
• Waller Confirmed To Fed Board As Other Trump Pick In Doubt
• Vedder Price Lures Finance Partner From Pillsbury In London
• 3 Blank-Check Companies Tap Public Markets For $700M Total
• Citi Judge Questions Jurisdiction In 'Mistake' Transfer Case
• Ex-JPM Trader Wins Bail As 2nd Circ. Mulls Antitrust Question
• Bill To Boot Chinese Cos. From US Exchanges Sent To Trump
• Two Microcap Firms Allege Scheme To Steal Clients
• FINRA Fines Barclays $650K Over Flawed Trade Reporting
• Aimco Says $10B Co. Split Still On After Dissing Buyout Bid
• 1st Convicted Spoofer Says Atty Conflicts Warrant New Trial
• Hemp Product-Focused SPAC Files For $100M IPO
• How COVID-19 May Change Universities' Use Of P3s
• How Mediators Can Help Parties Overcome Emotional Barriers
• Post-Election Financial Services Regulatory Outlook
• US Sanctions May Play Part In $40M Venezuelan Bond Case
• SEC Rift In Spotlight As Calls For ESG Disclosures Grow
• Nasdaq Pushes For More Board Diversity, Disclosures
• Levi & Korsinsky, Glancy Vying To Rep PinTec IPO Investors
• FY 2020 Was CFTC's Most Active Enforcement Year To Date
• Ex-HSBC Forex Exec Seeks To Skirt Prison In Light Of Virus
• Ex-JPM Forex Rigger May Get Prison Put Off By 2nd Circ.
• Pace Of Bankruptcy-Claims Trading Is Picking Up
• Mnuchin Defends Decision To End Fed Virus Lending Facilities
• Libra Calls Rebrand To Diem A 'New Day' For Crypto Initiative
• Judging A Book: Wardlaw Reviews 'Hamilton And The Law'
• Latham-Led Airbnb Launches Long-Awaited $2.4B IPO