April 20-21, 2020
1177 Avenue of the Americas
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This two day PLI seminar will feature panel discussions covering the basics of private placements, resales of restricted securities, Section 4(a)(1-1/2) transactions and block trades. Partner Anna Pinedo will serve as chairperson of the program and partner Marlon Paz will speak on a panel entitled, “Practical Considerations for Broker-Dealers Acting as Placement Agents in Exempt Offerings.”  Other topics that will be addressed include:

  • The changes to private and exempt offerings brought about by the JOBS Act and the SEC’s Concept Release on Harmonization of Securities Offering Exemptions, including “accredited investor” crowdfunding offerings;
  • The changes to Rule 701 and the SEC Concept Release on Rule 701 and Form S-8;
  • The documentation, principal negotiating issues, and market developments relating to late-stage or pre-IPO private placements, PIPE transactions, 4(a)(2) and 144A offerings and confidentially marketed public offerings.