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The following is a summary of an article by Tom Spiggle, The Spiggle Law Firm Summary of AI in Employment and Regulatory Frameworks Recent years have witnessed a significant transformation in how...
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Skadden, Arps, Slate, Meagher & Flom LLP.
THE TECHNOLOGY INDUSTRY IS FOCUSED around companies that primarily sell technology or technology services. Major players in the technology industry include:
In addition to competing in the technology industry, many technology companies also impact other industries. For example, Apple has established a presence in media with iTunes and its Apple TV product. Alphabet is a pioneer in the car industry, launching a self-driving car project in 2014. Uber and Lyft’s online services are similarly disrupting the transportation industry.
Securities offerings by technology companies, including private and public equity and debt offerings, are subject to the same general set of securities laws and regulations that govern securities offerings by companies in other industries. This includes the Securities Act of 1933, as amended (the Securities Act); the Securities Exchange Act of 1934, as amended (the Exchange Act); the Sarbanes-Oxley Act of 2002; the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010; the Trust Indenture Act of 1939, as amended; and state securities or blue sky laws.
In particular, the issuance of options, restricted shares, and other forms of equity incentives, on which many technology companies rely heavily to incentivize their employees, requires compliance with the Securities Act and state blue sky laws. For private technology companies, Rule 701 (17 C.F.R. § 230.701) under the Securities Act is an important exemption from the registration requirements of the Securities Act for issuances of equity to employees, officers, directors, consultants, and advisors.
To read the full practice note in Lexis Practice Advisor, follow this link.
Gregg A. Noel is the head of Skadden’s West Coast corporate finance practice. He is recognized as one of the leading capital markets attorneys in the country, representing clients in public offerings, private placements, dispositions, corporate restructurings, and mergers and acquisitions. Michael J. Mies is a corporate partner in Skadden’s Palo Alto office. He represents issuers, underwriters, and lending parties in corporate finance and capital markets transactions in the United States and Japan. He also represents public and private companies, investment banks, and private equity firms in cross-border mergers and acquisitions, joint ventures, and strategic investments.
For general information on securities laws and regulations, see
> U.S. SECURITIES LAWS: AN OVERVIEW
RESEARCH PATH: Capital Markets & Corporate Governance > Debt Securities Offerings > Rule 144A/Regulation S Debt Offerings > Practice Notes > The Offering Process
For additional information about the typical process for securities offerings by all types of companies (including technology companies), see
> UNDERSTANDING THE INITIAL PUBLIC OFFERING PROCESS
RESEARCH PATH: Capital Markets & Corporate Governance > IPOs > Conducting an IPO > Practice Notes > Offering Mechanics
For guidance on the registration statement review process with the U.S. Securities and Exchange Commission (SEC), see
> UNDERSTANDING THE SEC REVIEW PROCESS
RESEARCH PATH: Capital Markets & Corporate Governance > IPOs > Drafting the Registration Statement > Practice Notes > The Registration Statement and SEC Review
For an overview of the periodic and current reporting obligations of companies that are subject to the requirements of Section 13 of the Securities Exchange Act of 1934, see
> PERIODIC AND CURRENT REPORTING RESOURCE KIT
RESEARCH PATH: Capital Markets & Corporate Governance > Public Company Reporting > Current Reports on Form 8-K > Practice Notes > Resource Kits
For a discussion on the corporate governance requirements applicable to corporations, see
> INTRODUCTION TO CORPORATE GOVERNANCE REQUIREMENTS FOR PUBLIC COMPANIES
RESEARCH PATH: Capital Markets & Corporate Governance > Corporate Governance and Compliance Requirements for Public Companies > Corp
* The views expressed in externally authored materials linked or published on this site do not necessarily reflect the views of LexisNexis Legal & Professional.