July 16-17, 2020
This two day program will provide an in-depth review of the basic aspects of the U.S. federal securities laws. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, the JOBS Act, the securities-related provisions of the FAST Act, related SEC regulations and significant legislative and regulatory changes and proposals.
Partner Anna Pinedo will co-lead a discussion entitled Securities Act Exemptions on Day One of the program.
Discussion topics will include:
- Exempt securities versus exempt transactions;
- Private placements, including offerings under Rules 504 and 506 of Regulation D;
- Regulation A+ offerings;
- “Intrastate” offerings;
- Employee equity awards;
- Rule 144A offerings;
- Regulation S offerings outside the U.S..
- Resales of restricted and controlled securities: Rule 144, Section 4(a)(7) and “Section 4(a)(1½)”