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BioWorld - Saturday, June 28, 2025
Home » Topics » Regulatory » SEC

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‘Regulatory reaper’ comes for SPACs

Jan. 24, 2024
By Mari Serebrov
Final rules the U.S. SEC adopted Jan. 24 to beef up disclosure requirements and investor protection in initial public offerings by special purpose acquisition companies (SPACs) and de-SPAC transactions could be the death knell for the SPAC market. They also could open the door for the SEC to regulate companies like biopharma and med-tech startups as investment companies.
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U.S. Securities and Exchange Commission

SEC charges former Stimwave CEO with $41M fraud

Dec. 20, 2023
By Holland Johnson
The Securities and Exchange Commission (SEC) charged Laura Tyler Perryman, the former CEO and co-founder of Stimwave Technologies Inc., with defrauding investors out of approximately $41 million by making false and misleading statements about one of the company’s products. According to the SEC’s complaint, the Stimwave device comprised several components, one of which was a fake, non-functional component that was implanted into patients’ bodies.
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Spouse of biopharma employee charged with insider trading

Oct. 18, 2023
To resolve a U.S. SEC insider trading charge related to Pfizer Inc.’s $11.4 billion acquisition of Array Biopharma Inc. in 2019, Brian Rubin consented Oct. 17 to a judgment ordering him to disgorge $90,458, plus prejudgment interest of $16,914, and to pay a civil penalty to be determined by the court.
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U.S. Securities and Exchange Commission

Nano-X, SEC come to terms over misrepresentation of ARC production costs

Oct. 4, 2023
By Mark McCarty
Neve Ilan, Israel-based Nano-X Imaging Ltd., had rocked the world of medical imaging with promises of X-ray imaging systems that provide low-cost tomosynthesis, but the U.S. Securities and Exchange Commission says the company overpromised on the low-cost claim. The SEC said the actual production cost of the Nano-X ARC systems is at least double the $12,000 per-unit figure routinely touted by the company’s former CEO, Ran Poliakine, a factual misrepresentation that helped the company raise $165 million in an initial public offering.
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US SEC issues final order for Baxter for violative foreign exchange transactions

Sep. 28, 2023
By Mark McCarty
The U.S. Securities and Exchange Commission (SEC) has issued the final order concluding an action against Baxter International Inc. over the company’s use of accounting mechanisms to produce gains by manipulating foreign exchange transactions. While these activities are said to have been undertaken entirely at the behest of only two employees, the agreement will cost Baxter $18 million and serves as a cautionary tale about a lack of supervision of employees charged with managing company funds.
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US SEC cybersecurity rule narrows range of information disclosed, but holds four-day mandate

July 31, 2023
By Mark McCarty
The U.S. Security and Exchange Commission’s final rule for disclosure of cybersecurity incidents would seem to weigh more heavily on device makers and their client hospitals than on other industries, particularly given that the draft rule required a four-day notification of any such events. The final rule retains that requirement to notify investors of any such breach within four days, although the SEC relented on the content of such disclosures to ease concerns about the potential for disclosures to amplify the cybersecurity threat.
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SEC: Cybersecurity incidents to be disclosed on 8-Ks

July 27, 2023
Public companies registered with the U.S. SEC will soon have to disclose material cybersecurity incidents and annually report material information regarding their cybersecurity risk management, strategy and governance.
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SEC: Cybersecurity incidents to be disclosed on 8-Ks

July 26, 2023
Public companies registered with the U.S. SEC will soon have to disclose material cybersecurity incidents and annually report material information regarding their cybersecurity risk management, strategy and governance.
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SEC still cleaning up insider trading from Pandion deal

July 18, 2023
By Mari Serebrov
The U.S. SEC is settling insider trading charges against Nirdosh Jagota, former vice president of global regulatory affairs at Merck & Co. Inc., stemming from Merck’s $1.85 billion acquisition of Pandion Therapeutics Inc. in 2021.
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Fraud blocks under magnifying glass

Pharma insiders and friends charged with trading violations

June 30, 2023
By Mari Serebrov
Two separate insider trading tips involving a biopharma acquisition and trial results for Pfizer Inc.’s COVID-19 antiviral, Paxlovid, allegedly netted millions of dollars in “ill-gotten” trading profits, according to U.S. SEC complaints announced June 29.
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