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How does Jordana Nelson's prior experience as a general counsel inform her work with firm clients? Read more>

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The M&A Advisor Winner 2017The M&A Advisor announced the winners of the 16th Annual M&A Advisor Awards on Monday, November 13 at the 2017 M&A Advisor Awards. Bass, Berry & Sims was named a winner in the two categories related to the following deals:

M&A Deal of the Year (from $1B-$5B) – Acquisition of CLARCOR Inc. by Parker Hannifin Corporation

Corporate/Strategic Deal of the Year (over $1B) – Acquisition of BNC Bancorp by Pinnacle Financial Partners

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Regulation A+

It seems that lately there has been a noticeable uptick in Regulation A+ activity, including several recent Reg A+ securities offerings where the stock now successfully trades on national exchanges. In light of this activity, we have published a set of FAQs about Regulation A+ securities offerings to help companies better understand this "mini-IPO" offering process, as well as pros and cons compared to a traditional underwritten IPO.

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Regulatory Auditor for the NYSE

Client Type: Public Company

The firm was approved by the SEC to serve as the Regulatory Auditor for the NYSE from 2005 to 2013, following the SEC's findings in a Consent Order that the NYSE had failed to police specialists who were "interpositioning" and "trading ahead" of customer orders. The firm's engagement covered ongoing audits of regulatory policies and procedures, including interviews with regulatory personnel, review of business requirements and functional specifications for automated surveillance technology, IT testing of regulatory controls, and observation of trading activity on the NYSE floor. The firm provided comprehensive, bi-annual reports to the SEC and NYSE, as well as frequent, interim reports to the NYSE as it completed individual audit procedures.

The New York Stock Exchange (NYSE) is one of the world's largest and most liquid equities stock exchange.

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