by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is Regulation SHO?Regulation SHO is an administrative regulation promulgated by the SEC in 2005 to regulate the short sale of securities.How does Regulation SHO Work?Regulation SHO serves to prevent traders from unethical practices in short selling. It...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is a Secondary Buyout?Secondary buyout involves private equity firm selling its stake or assets in a startup or a company to another private equity firm. A secondary buyout is different from secondary market purchases in that the latter involves acquiring a large...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is a Special Purpose Vehicle or Special Purpose Entity?A Special Purpose Vehicle or Special Purpose Entity (SPV/SPE) is a corporate entity created by a parent company to carry out specific transactions or business different from that of the parent company. Parent...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is an Indication of Interest?An indication of interest (IOI) is a buyer’s expression of interest in buying a security that is yet to be approved or issued. IOI is a conditional agreement and a non-binding interest often stated by a buyer. When a buyer is...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is a High Net Worth Individual?High net worth individual (HNWI) is a designation used in the financial services industry to describe an individual who has investable assets that exceed a certain threshold. Investible assets are also liquid assets such as stocks...
by Jason M. Gordon | Feb 23, 2025 | Business Transactions, Antitrust, & Securities Law
What is Bid Rigging?Bid rigging is an unethical practise that occurs in the process of bidding, this is an act whereby businesses (competing parties) conspire with one another to execute non-competitive bids. In this situation, the competing parties conspire and...
