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Securities Law Blog

The Securities Law Blog provides commentary and news on the latest securities law developments impacting established and emerging growth publicly-traded issuers and investment banks, as well as entrepreneurs and venture-backed private entities. Our blog closely follows SEC rulemaking in several key areas including public and private securities offerings, shareholder activism and equity investment, and mergers & acquisitions.

The authors of this blog are members of the Corporate/Securities practice of Olshan Frome Wolosky LLP.  Since our founding, this firm has been distinguished by responsive, independent and client-focused legal services provided by lawyers with a profound commitment to the companies they serve. This blog is an outgrowth of this representation of our clients in a wide range of capital market transactions.

Six Questions to Determine Whether You Are Ready for a Subscription Rights Offering

Rights offerings have evolved into a transformative corporate transaction providing an opportunity to raise capital from existing shareholders first, then from the general public, via a streamlined registration on Form S-1 or shelf takedown with a built-in best efforts standby underwriting for outside investors. Read More ›

Corporate Clients Deserve More than the “Standard” Terms Explanation from their Lawyers

The Snap founders’ overwhelming and much talked-about control of the company appears to be a reaction to onerous venture capital investment terms that they did not understand and diluted their power and were simply called “standard” by their lawyers. Read More ›

Coal Mining Takes the Lead as the Surprise IPO Market Segment for 2017

At least half a dozen U.S. coal firms are preparing or exploring public offerings, according to The Wall Street Journal, kicking off the biggest wave of coal IPOs in two decades. Read More ›

Columbia Law School’s Blog Introduces Regulatory Entrepreneurship, a Business Model Predicated on Changing Existing Laws through its Stakeholders

Airbnb and Uber, among others, have strong incentives to push back against laws and regulations with asymmetric costs and benefits. Read More ›

The State of the IPO Market in Real-Time as Reported by The Wall Street Journal

Despite rising stock prices in 2016, it was a down year for the number and dollar-volume of IPOs, and a decline in the number of U.S.-listed public companies. The Wall Street Journal is concerned about the causes and effects of the IPO slump. Read More ›

Five Tips for Planning for the 2017 Proxy Season

Important considerations for the upcoming proxy season. Read More ›

Head’s Up! 2016 Form 10-K Filing Deadlines and Related Dates to Keep in Mind

Print out and save these pages containing important SEC reporting deadlines for upcoming filings by calendar - fiscal year end public companies. Read More ›

Postscript to Dual-Class Shareholder Voting Rights

With three classes of shares – non-voting shares, one-vote shares and super-voting shares - Under Armour is experiencing an unusually wide spread in the market prices of its traded shares and it may not be because of the difference in voting rights. Read More ›

SEC Chair White Announces Departure Plans

Opens door for Conservative Shift and Deregulation of Wall Street. Read More ›