IPO
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SEC small business committee continues ‘finders’ discussion
“Finders,” or those who find capital for small businesses but are not necessarily registered broker-dealers, have operated in a regulatory gray area.
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SEC sues C-Hear and former CEO over $4.2m offering fraud
The SEC’s complaint alleges the company’s investors were misled about product testing and cybersecurity, and its CEO’s previous criminal history.
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How private equity’s big bet on software was derailed by AI
Dealmakers and lenders are facing a ‘Darwinian moment’ as digital services risk being made obsolete by new technologies.
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UK Supreme Court delivers landmark ruling on AI patentability
The decision has significant implications for the patentability of computer-implemented inventions in UK sectors especially healthcare and life sciences.
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Atkins glosses SEC agenda in House speech
The SEC chief touched on his plans to “Make IPOs great again,” review the costs of the Consolidated Audit Trail and PCAOB, and support crypto clarity.
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SEC sues Lottery.com and ex-employees for revenue fraud
According to the complaint, a series of artificial transactions drastically inflated the company’s value from 2020 to 2022.
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FINRA sweep targets foreign small-cap offerings
The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
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SEC’s report details insights from its spring Small Business Forum
The SEC’s annual Small Business Forum is an event in which members of the public and private sectors provide feedback to improve capital-raising policy.