In No Exit, a recent paper, authors Brian J. Broughman, Matthew T. Wansley, and Samuel N. Weistein, describe how increased antitrust restrictions caused a decline in M&A exits by startups. However, instead of this leading to an increase in IPOs, companies remained private and used alternatives to access capital and liquidity.
Source: Broughman, Wansley, Weistein
The Securities and Exchange Commission today announced the launch of a task force on artificial intelligence (AI) that will spearhead the agency’s efforts to enhance innovation and efficiency in its operations through the responsible use of AI. Valerie…
More information at SECLaw.com Read the Full Press Release
Have a securities law question? Call New York
The Securities and Exchange Commission (SEC) formally withdrew the following proposed Gensler era rulemakings:
On April 9, 2025, in the case of Securities Exchange Commission v. Albert Saniger (Saniger),[1] the U.S. Securities and Exchange Commission (the SEC) charged Alberto Saniger Mantinan, former CEO of Nate, Inc., a privately held technology startup, with fraudulently soliciting investments in Nate during two rounds of fundraising from the spring of 2019 through
The world can sometimes be a complex place.
This general issue has been discussed several times on these pages – including most recently here.
A recent Wall Street Journal article titled “Critical Minerals Supply Faces Risk” notes:
“Critical minerals are essential raw materials used in high-tech manufacturing, from green-energy technologies to artificial intelligence and
The Commission filed on new cases last week. It was based on making false statements to market a new claimed AI product. Be careful, be safe this week. SEC Enforcement – Filed and Settled Actions Statistics: Last week the Commission … This Week In Securities Litigation (Week of April 14, 2025) Read More »
Source
The Securities and Exchange Commission today announced the agenda and panelists for the March 27 roundtable on artificial intelligence in the financial industry. “I look forward to hearing from the panelists on how emerging technologies,…
More information at SECLaw.com Read the Full Press Release
Have a securities law question? Call New York Securities Lawyers at
Earlier this month, the US House of Representative’s Financial Services Committee (the “Committee”) held a hearing entitled “The Future of American Capital: Strengthening Public and Private Markets by Increasing Investor Access and Facilitating Capital Formation.” During the hearing, the Committee examined over thirty bills and is soliciting feedback from the public on these bills, as
The U.S. Securities and Exchange Commission’s Investor Advisory Committee (the “Committee”) will meet March 6, 2025. During this meeting, the Committee will present its recommendations to the SEC concerning traceability issues under Section 11 of the Securities Act of 1933. The agenda also includes a panel on Artificial Intelligence (AI)-related disclosures and another on retail
The Securities and Exchange Commission today announced it will hold a roundtable discussion on Artificial Intelligence in the financial industry. The event takes place on March 27 from 9 a.m. to 4 p.m. at the SEC’s headquarters in Washington, D.C. and is…
More information at SECLaw.com Read the Full Press Release
Have a securities law