Capital Markets Archive » September, 2021

Capital Markets - September, 2021

216 articles

• Infrastructure Bill In Limbo As House Continues To Mull Vote
• Robinhood's College Tour May Fly In The Face Of Regulators
• Dems Release Bill To Revamp Bank Merger Review Process
• Ropes, Latham Steer Hair Care Company's Upsized $1.6B IPO
• German Bank Successor Liable For $1.2B Cum-Ex Tax Debt
• Fintech, Gaming SPACs Raise $375M In IPOs
• Gunderson-Led Theseus Pharma To Launch $125M IPO
• How Investors Can Avoid Falling Prey To Crypto Scams
• Senate Confirms Rohit Chopra As CFPB Director
• Deals Rumor Mill: Willis Towers Watson, Huntsman, Fanatics
• Fed's Powell Says 'No Intention' To Seek US Ban On Crypto
• 2nd Circ. Floats NY High Court Punt In Citi $500M Revlon Fight
• Goldman-Backed Chat Service Symphony Settles With CFTC
• CFTC Fines SocGen $1.5M Over Swap Dealer Disclosures
• NFLer's Ex-Roommate Convicted In Insider Trading Scheme
• CFTC Hits Crypto Exchange Kraken With $1.25M Fine
• CFTC Accuses Investment Firm Of Forex Trading Fraud
• SEC Accuses Former Goldman Analyst Of Insider Trading
• SEC Proposes That Funds Beef Up Proxy Voting Disclosures
• Warby Parker Shares Beat Benchmark Following Direct Listing
• Tether, Bitfinex Must Face Crypto Market Manipulation Claims
• Allvue Delays IPO, Citing 'Adverse Market Conditions'
• Silver Mining Co. Hits JPMorgan With Spoofing RICO Suit
• What 9th Circ. Privilege Test Means For Dual-Purpose Advice
• Latham, Davis Polk Rep Planned $901M Luxury Gym IPO
• SEC Says Cannabis Pill Maker Ran $2M Securities Fraud
• CFTC Fines Citi, 2 Others Over Swap Reporting Failures
• Amplitude Shares Rise Following Nasdaq Direct Listing
• Lifting The Veil On The Supreme Court's Shadow Docket
• Wealth Manager Denies Claims In $9M Crypto Fraud Suit
• CFTC's Berkovitz To Reunite With Gensler As Top SEC Lawyer
• Winston & Strawn Adds Capital Markets Partner In Chicago
• Warren Won't Back 'Dangerous' Powell For 2nd Term At Fed
• Tilray Gets Securities Fraud Claims Tossed For Now
• Gensler Warns Panel About Costs Of Going Public Via SPACs
• Blockchain Biz Announces $100M Investment Unit
• 8 Firms Guide 3 Cos. For $969M In Planned IPOs
• Puerto Rico Fiscal Board Seeks Pension Cut Deal
• MoFo Nabs Another Fintech Partner From Reed Smith
• SEC Files Suit Over 'Meme Stock' Options Trading Scheme
• Embracing ESG: United Natural Foods GC Talks Bottom Line
• Crypto Whiz Cops Plea Before North Korea Sanctions Trial
• Big Firms' Compliance Costs Nearly Doubled Since COVID
• 4 Firms Drive SPAC Deal For $20B Electric Car Co. Polestar
• SEC's 1st Crowdfunding Enforcement Turns Heat On Portals
• Interest-Earning Crypto Crackdown Is Bigger Than Coinbase
• China Bans All Crypto Transactions In Broad Clampdown
• COVID Test Maker, Analytics Firm Price IPOs Totaling $740M
• SEC Sues UK Father And Son, 2 Others In Microcap Scam
• Robinhood Taps Crypto CCO, And Other Top People Moves
• SPAC Investor Sues Over Post-Deal Slide Of Telehealth Co.
• 3 Attorney Ethics Considerations For Litigation Funding
• Key Trends In Recent Cyber-Related Securities Class Actions
• SEC Letter Raises Climate Reporting Bar Before Rules Drop
• Home REIT Raises $481M In Upsized Offering
• SEC Brings First Disclosure Rule Action Against Muni Adviser
• Money Transfer Firm Remitly Leads Trio Of Fintech IPOs
• JPMorgan To Pay Treasury Futures Investors $16M For Spoofs
• 4 Steps For Improving Board Diversity Per New Nasdaq Rule
• Canadian Regulators Warn Crypto Platforms About Marketing
• Ex-OppenheimerFunds Analyst Charged With Insider Trading
• Biden Picks Ex-Davis Polk Atty, Law Prof For OCC Chief
• MVP: Wilson Sonsini's Rezwan Pavri
• V&E Steers Climate-Focused Blank-Check Firm's $200M IPO
• Fed 'Closely Monitoring' Wells Fargo's Cleanup, Powell Says
• Senators Probe SPAC Creators Over Possible Market Abuses
• Citi Wants Grand Jury Docs In Ex-Trader's Forex Probe Suit
• Cooley-Guided Freshworks' $1B IPO Leads 4 New Offerings
• Treasury GC Nominee Takes Heat From Warren Over Recusals
• How ABA Opinion Shifts Alternative Biz Structure Landscape
• Investors Say Robinhood's MDL Dismissal Bid Is Too Early
• MVP: Fenwick's Ran Ben-Tzur
• Treasury Sanctions Crypto Firm Over Ransomware Ties
• SEC Dumps FINRA Fine Against Brokerage In 'Rare' Rebuke
• OCC's Chief Warns Of 'Fool's Gold Rush' In Crypto
• SPAC Shareholder Sues Over Loss On $1B XL Fleet Merger
• Ripple Loses Bid For SEC Staff's Crypto Trading Records
• NY Banking Agency Pitches Small Biz Loan Disclosure Rule
• Freshfields-Led Universal Music Strikes Chord With Investors
• FINRA Seeks To Demystify The Social Media 'Influencer'
• Crypto Platforms To See More SEC Crackdowns, Gensler Says
• Virtu's Access To Insurer's Files Curbed In $11M Hacking Fight
• Ex-Locke Lord Atty, Others Escape Investors' OneCoin Suit
• MVP: Paul Weiss' John C. Kennedy
• Why Coinbase Was Destined To Lose Its Battle With The SEC
• SEC Chair Frets About 'Clothesless' Libor Alternative
• Minority BitMEX Owner Wants Out Of CFTC Suit
• Ice Cube's TM Suit Against Robinhood Wrecked For Good
• Officials Should Be Canned Over Pandemic Trades, Fed Told
• Software, Fintech Startups Lift IPO Targets To Start Busy Week
• Olaplex Joins Crowded IPO Pipeline With Plans To Raise $1B
• Coinbase Backs Off Lending Program After SEC Pressure
• Embracing ESG: HPE Counsel Talk Effective Board Oversight
• The UK Reforms That Add Investor Allure To SPACs
• MVP: Davis Polk's Derek Dostal
• 3 Firms Drive SPAC Deal Forming $1.4B Investment Firm
• SEC's 1st Crowdfunding Suit Targets Pair Of Cannabis Cos.
• Pandemic IG Eyes Borrowers, Lenders On Fraud Deep-Dive
• IPO Lockup Periods Begin To Loosen Amid Market Pressure
• Treasury Hits Alleged Terrorist Operatives With Sanctions
• Hong Kong Exchange Proposes Rules To Allow SPAC Listings
• RBC Unit To Pay SEC $863K Over Muni Bond 'Flippers' Claims
• Justice Gap Demands Look At New Legal Service Models
• Cohen Milstein Wants To Lead Tower Research Spoofing Suit
• MVP: Goodwin Procter's Bradley C. Weber
• Ice Cube's Robinhood TM Suit Comes Down To Endorsement
• PDVSA Eyes Sanctions Officials' Convos In $150M Debt Suit
• SEC Settles With Calif. School District Over $28M Bond Sale
• Fed To Review Trading Rules For Officials After Backlash
• PE-Backed Identity Software Co. Leads 2 IPOs Totaling $528M
• Despite Risks, Venezuela May Rekindle Investor Interest
• OFAC Settlement Extends Sanctions' Reach Beyond US Dollar
• Blockchain Biz Avalanche Raises $230M In Private Token Sale
• Self-Styled 'Bad Guy,' Partner Bank $8.5M Despite SEC Action
• Deals Rumor Mill: Stripe, Novolex, Unilever
• Skadden, Kirkland Lead Prenetics' $1.7B SPAC Deal
• Navigating Dealer Status After SEC Settlement With Adviser
• 'Roaring Kitty' Ex-Employer Fined $4M Over GameStop Posts
• Wilson Sonsini, Kirkland Steer Gogoro's $2.35B SPAC Deal 
• Crypto Fund Boss Gets 7½ Years For $90M Ponzi Scheme
• 9 Companies Storm Capital Markets With IPOs Totaling $3B
• Kirby McInerney, Gilbert Interim Leads In CDS Market Rig Suit
• Nikola Founder Seeks To Shift NY Fraud Case To Arizona
• Man Can't Sue IRS Over Crypto Exchange Docs, 1st Circ. Told
• Crypto Ranking Site Accused Of Manipulating Token Price
• SEC Whistleblower Bounty Program Hits $1B Milestone
• 3 Firms Guide Fintech Biz Pagaya's $8.5B Go-Public Deal
• Warren Says Fed Must Break Up 'Irredeemable' Wells Fargo
• GOP Sens. Chide SEC's Gensler On Disclosure Rules, Crypto
• SEC Seals $10M Deal With Firm That 'Lied' About Data Usage
• Fla. Biotech Co.'s Misleading IPO Hurt Investors, Suit Says
• Uber Aims To Slash 'Piggyback' Investor Claims In IPO Suit
• 3 Firms Guide Sportradar's $513M IPO
• Sea Mining Biz Seeks $220M From Would-Be SPAC Investors
• Vivendi Readies Universal Music Spinoff At $39B Valuation
• These Firms Have The Most Women In Equity Partnerships
• Board Diversity Considerations In Light Of New Nasdaq Rules
• Biden Taps 2 For CFTC, Boosts Behnam To Permanent Chair
• Pinterest 'Co-Creator' Says She Got Nothing From $14B IPO
• 7 Companies To Join September Blitz With IPOs Topping $2.8B
• FINRA Fines Ex-Merrill Lynch Rep Over Alleged Spoofing
• Embracing ESG: Leidos GC Talks Social Responsibility
• Forge Global To Go Public In $2B SPAC Deal
• Ga. Telecom Can't Get Out Of Investment Banker's $2M Suit
• Skadden Picks Up Ex-SEC Enforcement Unit Chief In NYC
• Law360's Glass Ceiling Report: What You Need To Know
• Coinbase Seeks $1.5B From Investors For Possible M&A
• SEC Nabs $539M Settlement With Chinese Billionaire's Groups
• Coinbase Probe Shows SEC Game To Play Hardball On Crypto
• Judge Rejects Ex-Goldman Exec's Bid To Avoid 1MDB Trial
• Centra Tech Investors Score Class Cert. In Suit Over $32M ICO
• 9 Firms Rep Quartet Of Blank-Check Cos. Raising $710M
• Didi Hit With Another Investor Suit Over $4.3B IPO
• FINRA Names New Head Of Supervision, Havlik To Depart
• 15 Firms To Guide IPOs Exceeding $3.4B As Activity Resumes
• Learning From The Latest SEC Cybersecurity Enforcement
• Swiss Regulator Approves First Digital Tokens Exchange
• FenXun Adds Senior Counsel To Capital Markets Team
• Robinhood Can't Get Out Of Revamped Data Breach Suit
• SIFMA Wants More Time To Give SEC 'Gamification' Input
• 'Suspicious' Judge Unsure Of SEC's Crypto Claim In IPro Case
• SEC Panel Endorses Tougher Regs On SPACs, Insider Trading
• OCC Slaps Wells Fargo With $250M Fine Over Home Loans
• CFTC's Quintenz Joins Andreessen Horowitz As Adviser
• Hedge Fund Manager Cops To $100M Securities Fraud
• Deals Rumor Mill: Engie, Advance.AI, Aramex
• SEC Fines NJ Adviser $400K Over High Mutual Fund Fees
• Libor Replacement Must Factor In Fed's Influence Over SOFR
• O'Melveny Adds Capital Markets Pro From Simpson Thacher
• CFTC's Berkovitz Says He's Stepping Down Next Month
• Lessons In Crisis Lawyering 20 Years After 9/11
• Cooley, Davis Polk Rep $1.6B E-Commerce Go-Public Deal
• Coinbase May Face SEC Action Over Cryptocurrency Product
• Robinhood CCO On Quest To Build Top-Tier Compliance Unit
• Judge Nixes Sanctions, Fees After CME's $15.7M TM Trial Win
• Adoption Of Extended M&A Valuation Models Seems Unlikely
• Centra Tech Investors Again Seek Class Cert. Over $32M ICO
• Comparing 'Ultimate Beneficial Owner' Rules In EU And US
• BitMEX Shakes Crypto Traders' Racketeering Charges
• Coin Metrics Snags Refinitiv Top Attorney For GC Role
• FINRA Fines Santander Over Report Disclosure Issues
• Embattled Credit Suisse Names New Compliance Chief
• FCA Board Flags Risks Of Regulator's SPAC Rule Changes
• SEC Marketing Rule Keeping Compliance Pros Up At Night
• 6 Companies Recharge IPO Market With Plans To Raise $2.7B
• Broker Loses Bid To Block 'Unfair' Virtual FINRA Hearing
• Thai Regulator Seeks To Shut Down Crypto Exchange Huobi
• El Salvador Loads Up On Bitcoin As Novel Law Takes Effect
• Marsh McLennan Names New Global Compliance Chief
• Kraft Bundled Bad News To Blur Probe's Impacts: SEC Official
• Lawyers Gear Up For Packed IPO Pipeline As Autumn Nears
• Fintech, Energy-Centric SPACs Together Raise $400M In IPOs
• McDermott Expands Into Asia With Launch Of Singapore Hub
• Bond Investors Denied 2nd Circ. Redo In Market-Rigging Suit
• CMBS Issuance On The Rise, But Questions Remain
• SEC Must Tackle Proxy Adviser Problems
• Kraft Heinz To Pay $62M To End SEC Accounting Fraud Probe
• Justices Shelve Securities Discovery Case As Sides Near Deal
• Singapore Unveils Regulatory Regime To Allow SPAC Listings
• Why So Many Law Firms Are Rallying In Defense Of SPACs
• Pot Co. IAnthus Fights Hedge Fund Over Debt Plan Deadline
• SEC Wins Access To Ripple's Internal Slack Messages
• Virtual Currencies Gain Recognition In Texas Commercial Law
• Deals Rumor Mill: Mailchimp, Hexaware, ParshipMeet
• Trump Ally Barrack Signals Brady Fight In Lobbying Case
• Why Structured Data Is Increasingly Important To Your Case
• Pulling Up Stakes: Latham, Wilson Sonsini And Schiff Hardin
• Ex-CFTC 'Crypto Dad' Leaves BlockFi Board After 4 Months
• Cos. 'Begging' For ESG Guidance From SEC, Report Says
• Data Analytics Gives SEC Enforcement Edge On Earnings
• Embracing ESG: AIG Counsel Talks SEC Risk Alert
• 2 Firms Rep Fintech-Focused Blank-Check Co.'s $250M IPO
• 6 Firms Jockey To Lead DraftKings Investors' Merger Row
• Latham Opens Austin Office With Focus On Emerging Cos.
• Robinhood Says Potential $3.4B Offering Is Under SEC Review
• Moye White Expands For First Time, Merges With Atlanta Firm