Intellectual Property Direct Securitization:
A New Paradigm in IP Finance

Introduction Intellectual Property (IP) Direct Securitization is an innovative financing method that turns intangible IP assets – like patents, copyrights, trademarks, or creative works – directly into tradeable securities. Unlike traditional IP-backed securitization (e.g. Bowie Bonds backed by music royalties), direct securitization does not rely on a company, special-purpose vehicle (SPV), or trust as an … Leggi tutto

Process Patents vs. Business Method Patents with the help of ChatGPT

Introduction In U.S. patent law, an invention can take different forms – it might be a product, a machine, a composition of matter, or a process. Within the category of processes, there is a special subset often referred to as business method patents. Understanding the distinction between a general process patent and a business method … Leggi tutto

Difference between a Pending or Issued Patent

The world of intellectual property can be complex, with various terms and processes that may seem daunting to those who are not familiar with them. Two common phrases often encountered in this realm are “patent pending” and “patent issued.” These terms are associated with the protection of inventions through patents, but they refer to very … Leggi tutto

The Role of the Transfer Agent in the IPO

Initial Public Offerings (IPOs) are complex financial events that mark a significant milestone for companies seeking to raise capital by transitioning from private to public ownership. Among the numerous stakeholders and service providers involved in this process, the transfer agent plays a critical but often underappreciated role. This article delves into the essential functions of … Leggi tutto

The Role of the FINRA in the IPO Process

The Initial Public Offering (IPO) represents a significant milestone in a company’s growth, symbolizing its transition from a private entity to a publicly traded corporation. This transformative process is laden with regulatory and compliance requirements, which ensure fairness, transparency, and investor protection. Among the entities playing a pivotal role in this process is the Financial … Leggi tutto

The Role of the U.S. Securities & Exchange Commission in the IPO Process

The Initial Public Offering (IPO) is a transformative milestone for private companies looking to raise capital by offering shares to the public for the first time. While IPOs offer significant opportunities for growth and access to broader investor bases, they also come with a complex regulatory framework designed to ensure market integrity and protect investors. … Leggi tutto

The Allocation of Shares in the IPO

The Allocation of Shares in the IPO

Initial Public Offerings (IPOs) mark a significant milestone for a company transitioning from private to public ownership. For investors, IPOs represent an opportunity to invest in a company during its public debut, often at a price point that could be lower than subsequent trading levels. However, the process of share allocation in an IPO can … Leggi tutto

The IPO “Quiet Period” under U.S. Securities Law

The IPO "Quiet Period" under U.S. Securities Law

Introduction The “quiet period” is a fundamental concept under U.S. securities law that governs communications by companies, underwriters, and insiders during the process of an initial public offering (IPO). This period is intended to ensure a fair and level playing field for all investors by limiting the dissemination of information that could unduly influence investor … Leggi tutto