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The Securities Edge Securities Blog for Middle-Market Companies

Monthly Archives: September 2014

Alibaba’s record IPO – How will it affect U.S. technology companies?

Posted in Capital Raising

On September 19, Chinese e-commerce giant Alibaba completed the initial public offering of its stock. The underwriters for the offering subsequently exercised their option to buy additional shares, making this the largest IPO in history at $25 billion. The stock’s price immediately jumped by a huge amount, finishing its first day of trading at $93.89,… Continue Reading

The JOBS Act – Any results yet?

Posted in Capital Raising

President Obama signed the JOBS Act into law on April 5, 2012 amid much fanfare and optimism. Small and medium sized fast-growing technology companies and their executives were especially sanguine about this new act as it appeared that it would provide access to much-needed additional expansion capital. These companies were still reeling from the recession… Continue Reading

Nasdaq annual listing fees are going up, up (but not away)

Posted in Announcements

In late August, Nasdaq announced changes to their annual listing fees.  Generally, the fees will increase effective January 1, 2015, but Nasdaq is also adopting an all-inclusive annual fee and eliminating its quarterly fees.  The new annual fee will now include fees related to listing additional shares, record-keeping changes, and substitution listing events.  The all-inclusive… Continue Reading

Despite First Amendment concerns, the conflict minerals rule is here to stay

Posted in Disclosure Guidance

A few months ago, the U.S. Court of Appeals for the D.C. Circuit upheld portions of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, known as the “conflicts mineral rule.” The rule, enacted by Congress in July of 2010,requires certain public companies to provide disclosures about the use of specific conflict… Continue Reading