Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

Toppan Vintage

Toppan Vintage is a leading international financial printing, communications and technology company dedicated to delivering a hassle-free experience with the highest quality accuracy, reliability and value for your organization’s financial printing and communications needs.

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Video: October Top Law Firms By SEC Transactions

As subject matter experts in transactions i.e. IPOs and M&A, we carefully track the capital markets dealflow… daily, weekly and monthly.

If you would like to be emailed the week’s transactions (every Monday afternoon), fill out the quick form on this page.

Continue on to view October's top law firms.

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SEC closed for Veterans Day - November 12, 2018



Due to the observance of Veterans Day, the SEC is closed Monday, November 12, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Friday, November 9, 2018 will receive a filing date of Tuesday, November 13, 2018 and will be posted to the public on November 13, 2018.

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SEC Disclosure Update and Simplification: Final Rule in Effect

As of Monday November 5, 2018, filers will be able to adopt amendments that the SEC approved in August to change certain disclosure requirements that have become duplicative, overlapping, or outdated considering other SEC disclosure requirements, GAAP, or changes in the information environment.

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IPOs and Transactions: October 29 - November 2

There were 39 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Orthopediatrics Corp w/ Bingham Greenebaum Doll LLP, First Keystone Corp w/ Bybel Rutledge LLP, Guardion Health Sciences Inc w/ Carmel, Milazzo & DiChiara LLP, Agile Therapeutics Inc w/ Morgan, Lewis & Bockius LLP, Orthopediatrics Corp w/ OrthoPediatrics Corp., Bionik Laboratories Corp w/ Ruskin Moscou Faltischek, P.C., Bionik Laboratories Corp w/ Schiff Hardin LLP, Guardion Health Sciences Inc w/ Sheppard, Mullin, Richter & Hampton LLP, Marker Therapeutics Inc w/ Shumaker, Loop & Kendrick, LLP, Equitrans Midstream Corp w/ Wachtell, Lipton, Rosen & Katz, Equitrans Midstream Corp w/ Wachtell, Lipton, Rosen & Katz.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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Accounting for Profits Interests in Limited Liability Companies

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North America Capital Raising Drives Cross-Border IPOs

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The Impact of Tax Reform on Leveraged Lending Transactions

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Pitfalls of Vertical Integration Deals

Vertical mergers have been stealing some of the thunder from horizontal deals of late. As horizontal targets become harder to come by, some acquirers are focusing on companies up or down the supply chain from them—presenting both new opportunities for expansion and a new set of challenges.

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: Not everyone thinks vertical integration deals are effective or worthwhile transactions. What are some of the potential pitfalls of such deals? Leading industry experts weigh in...

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IPOs and Transactions: October 22 - 26

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Glucose Biosensor Systems (Greater China) Holdings Inc w/ Hughes Hubbard & Reed LLP, 360 Finance Inc w/ Kirkland & Ellis International LLP, Tuanche Ltd w/ Kirkland & Ellis LLP, Q Biomed Inc w/ Ortoli Rosenstadt LLP, Capricor Therapeutics Inc w/ Sidley Austin LLP, Starwood Property Trust Inc w/ Sidley Austin LLP, 360 Finance Inc w/ Skadden, Arps, Slate, Meagher & Flom LLP, Tuanche Ltd w/ Wilson Sonsini Goodrich & Rosati PC.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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The Importance of a High-Quality Sales Process in Determining the Outcome of an Appraisal Proceeding

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Due Diligence in Vertical Integration Deals

Vertical mergers have been stealing some of the thunder from horizontal deals of late. As horizontal targets become harder to come by, some acquirers are focusing on companies up or down the supply chain from them—presenting both new opportunities for expansion and a new set of challenges.

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: To your knowledge, how difficult is the due diligence process for a buyer in a vertical integration deal as compared to a more traditional horizontal deal? Do buyers struggle at all with understanding the nuances of an adjacent business? What about the integration process? Leading industry experts weigh in...

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Capital Considerations and the Outlook for Private Equity

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Vertical Integration Deals and Antitrust Enforcement

Before increasingly popular vertical integrations can be consummated, however, they must be approved by antitrust authorities. Vertical mergers have recently drawn greater scrutiny by the government, causing would-be acquirers to second-guess their intentions as court actions play out. M&A advisors may also be hamstrung in their ability to counsel clients regarding the types of cases the U.S. Justice Department elects to challenge.

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: Dealmakers were heartened by the approval of the AT&T-Time Warner merger, but now face a potential reversal of the decision after the US Department of Justice’s (DOJ) appeal. How is this situation currently affecting sentiment toward vertical integration deals and the possibility of antitrust enforcement against them? Leading industry experts weigh in...

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IPOs and Transactions: October 15 - 19

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Aceto Corp w/ Aceto Corp., Midwestone Financial Group Inc w/ Barack Ferrazzano Kirschbaum & Nagelberg LLP, International Seaways Inc w/ Cleary Gottlieb Steen & Hamilton LLP, Slidebelts Inc w/ CrowdCheck Law LLP, Harborone Bancorp Inc w/ Goodwin Procter LLP, Aceto Corp w/ Lowenstein Sandler LLP, Sachem Capital Corp w/ Morse, Zelnick, Rose & Lander, LLP, Moleculin Biotech Inc w/ Schiff Hardin LLP, Midwestone Financial Group Inc w/ Shapiro Bieging Barber Otteson LLP, Pareteum Corp w/ Sichenzia Ross Ference LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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Flight Risk in M&A

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Vertical Transactions & Private Equity-Owned Platform Companies

Vertical mergers have been stealing some of the thunder from horizontal deals of late. As horizontal targets become harder to come by, some acquirers are focusing on companies up or down the supply chain from them—presenting both new opportunities for expansion and a new set of challenges for a range of companies and industries. 

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: Could vertical transactions be an effective strategy for, say, private equity-owned platform companies? Leading industry experts weigh in...

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Understanding the Recent Resurgence of Special Purpose Acquisition Companies

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Interest in Vertical Integration Transactions Lower in the Market

As horizontal deals become more challenging due to consolidation, dealmakers increasingly consider opportunities to go vertical. Looking down the supply chain, companies are finding both new and exciting opportunities for expansion, though accompanied by a new set of challenges. 

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: In addition to the vertical megadeals, are you seeing interest in vertical integration transactions lower in the market? Leading industry experts weigh in...

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IPOs and Transactions: October 8 - 12

There were 33 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Regenerx Biopharmaceuticals Inc w/ Avisen Legal, P.A., Akari Therapeutics Plc w/ McDermott Will & Emery LLP, Silverpeak Credit Company Inc w/ Proskauer Rose LLP, Solaris Oilfield Infrastructure Inc w/ Vinson & Elkins L.L.P.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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Putting the Recently Finalized US Inversion Regulations Into Context Following US Tax Reform

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