Regulation
Cantor Fitzgerald Settles SEC Charges Over Misleading SPAC Disclosures
The firm will pay a $6.8 million fine for allegedly making false statements in regulatory filings.
Tag: initial public offering
Market Moves
Tall Order: Bulls Hope Reddit’s Fledgling Stock Will Lift the IPO Curse
Previous supposedly hot offerings, like Instacart, did nothing to help the tattered new-issue market.
Risk
IPOs: Off to a Poor Start as 2023 Kicks Off
A mere 15 offerings have been filed thus far, fewer than in previous years.
Regulation
Proposed SEC Rules Look to Shed Light on Opaque SPAC Deals
Regulator aims to protect vulnerable investors from being left holding the bag after insiders have ‘cashed out.’
Wisconsin Adviser Charged With Defrauding Elderly, Ill Clients
The SEC alleges Michael Shillin betrayed more than 100 clients, with ‘devastating’ results
Market Moves
StepStone Group Assembles Underwriters for Upcoming IPO
The alternative asset class investor is said to be gearing up for an upcoming public offering.