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Home » Topics » Regulatory » SEC

SEC
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US flag, gavel, book

SEC settles insider charges related to Merck-Pandion merger

Sep. 20, 2024
The U.S. SEC settled charges against Philip Markin, a fifth person charged in connection with an insider trading scheme involving the February 2021 $1.85 billion offer by Merck & Co. Inc. to acquire Pandion Therapeutics Inc.
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Ipsen exec hit with insider trading charges

Sep. 11, 2024
Criminal and civil charges related to insider trading were filed Sept. 10 against Dishant Gupta based on his stock purchases of Epizyme Inc. in the months leading up to its acquisition by Ipsen SA.
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US SEC settles yet another insider trading case

Sep. 10, 2024
Another day, another insider trading deal involving biopharma stock. One of the latest U.S. SEC cases involves a retired dentist, Stephen Forlano Sr., who traded on a tip passed on through his son from a close friend who was an analyst at an investment firm handling a strategic financing collaboration with Harmony Biosciences Holdings Inc.
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Results of Type A meeting at heart of insider trading allegation

Sep. 9, 2024
By Mari Serebrov
Another biopharma employee got caught up in insider trading allegations, this time following a positive sponsor meeting with the U.S. FDA.
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IPO line graph

Biopharma IPO volume at 10-year low; Actuate raises $22.4M

Aug. 16, 2024
By Karen Carey
The year 2024 squeaked through another IPO this week, that of Actuate Therapeutics Inc., which raised $22.4 million becoming the 15th biopharma company to debut on U.S. exchanges this year. Out of 17 companies total, including one listing on the Hong Kong Stock Exchange and another on the SIX Swiss Exchange, the industry has raised a total of $4.8 billion through IPOs.
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SPAC ticker illustration

SPAC market diminished but alive despite new SEC rules

July 19, 2024
By Karen Carey
New U.S. SEC rules designed to reel back the special purpose acquisition (SPAC) market went into effect on July 1, yet only a few weeks later two such companies completed IPOs and are now targeting mergers with health care and life sciences firms, including biopharma and medical technology.
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U.S. Supreme Court

Supremes reject Purdue plan, uphold right to jury trial in SEC cases

June 27, 2024
By Mari Serebrov
In a 5-4 decision June 27, the U.S. Supreme Court scuttled a Purdue Pharma LP’s bankruptcy plan that would have discharged any claims against the Sackler family, which owned and controlled the company that made billions of dollars from its sales of Oxycontin (oxycodone).
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IPO puzzle pieces

China’s Ascentage drafts confidential IPO for dual listing in US

June 25, 2024
By Marian (YoonJee) Chu
Suzhou, China-headquartered Ascentage Pharma Group Corp. Ltd. has filed plans for a confidential IPO to the U.S. SEC for a potential dual listing on both the U.S. and Hong Kong stock exchanges. News of the U.S. IPO came just a few days after Ascentage drew a $75 million equity investment from Osaka, Japan-headquartered Takeda Pharmaceutical Co. Ltd. with the issuance of about 24.3 million shares at a purchase price of HK$24.09 (US$3.08) per share.
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Gavel and scales

Analytics used to fell med tech CEO in insider trading case

June 24, 2024
By Mark McCarty
The recent conviction of Ontrak Inc. CEO Terren Peizer for insider trading was conspicuous on two counts, including that it was the first time such a conviction had been obtained solely for trading conducted under a government-approved insider trading policy. More worrisome for industry, generally, is the case is another example of federal prosecutors’ ever-growing use of data and analytics to root out violations of SEC law. This is a trend that seems destined to grow with advances in artificial intelligence.
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Disgorgement but no penalty for self-reported insider trader

May 23, 2024
By Mari Serebrov
A woman who allegedly made nearly $300,000 last year on insider trading based on undisclosed information about a pending biopharma acquisition will have to disgorge her profits, along with interest, to the U.S. Treasury, but she will face no other penalties.
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