Anna Pinedo is a partner in Mayer Brown’s New York office and a member of the Corporate & Securities practice. She concentrates her practice on securities and derivatives. Anna represents issuers, investment banks/financial intermediaries and investors in financing transactions, including public offerings and private placements of equity and debt securities, as well as structured notes and other hybrid and structured products.

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The Securities and Exchange Commission announced that it will host a conference on December 4, 2019 entitled “The State of Our Securities Markets.” The conference includes representatives from various government agencies, as well as private sector representatives. Areas of focus at the conference will include global macroeconomic trends—and their impacts on our capital markets; changes

In this Lexis Practice Advisor Practice Note, we discuss new Rule 163B adopted by the US Securities and Exchange Commission (SEC). On September 26, 2019, the SEC extended the ability to test the waters to all issuers by adopting the highly anticipated new Rule 163B under the Securities Act of 1933, as amended (the Securities

Securities and Exchange Commission Chair Jay Clayton made remarks at the University of Pennsylvania, which covered a broad range of topics. Chair Clayton noted that under his tenure the SEC’s Reg Flex agenda has become less aspirational and has been more focused on identifying the near-term actions that the SEC expects to undertake. To that

Securities and Exchange Commission Chair Jay Clayton gave opening remarks in connection with the Investor Advisory Committee meeting.

The Committee’s meeting agenda includes a discussion of whether and how investors use environmental, social and governance (ESG) data in connection with deciding on investments. Institutional investors have been increasingly vocal regarding their interest in ESG matters

The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee recently published the agenda for its upcoming November 12, 2019 meeting. The Committee will gather to discuss the Commission’s recent Concept Release seeking comments on the exempt offering framework. The first panel will discuss, among other topics, harmonization, the regulation of offers and sales,

The Securities and Exchange Commission announced a meeting of the Investor Advisory Committee on November 7, 2019.  The meeting will begin at 9:30 a.m. ET and is open to the public.  The meeting will be webcast live and archived on the committee’s website for later viewing.  The Committee will discuss and consider whether investors use

The Securities and Exchange Commission issued a statement (see link) that seeks innovative proposals that would improve the secondary market structure for exchange listed equity securities that trade in lower volumes, or “thinly traded securities.” Small cap companies are particularly adversely affected by limited liquidity. The Commission also shared a background paper produced by

On September 26, 2019, the US Securities and Exchange Commission extended the ability to test the waters to all issuers by adopting the highly anticipated new Rule 163B under the Securities Act of 1933 (the Securities Act). The new rule allows any issuer, or any person acting on the issuer’s behalf, to engage in test

One of the Securities and Exchange Commission’s priorities under Chair Clayton’s leadership has been protection of retail investors, including through rigorous enforcement of microcap fraud.  Consistent with that focus, yesterday, the Commission released proposed amendments to Securities Exchange Act Rule 15c2-11.  This rule requires that certain issuer information be made available to and be reviewed

On September 17, 2019, the Securities and Exchange Commission (SEC) proposed rules to update the statistical disclosures that bank and savings and loan registrants provide to investors. The proposed rules would rescind Industry Guide 3, Statistical Disclosure by Bank Holding Companies (Guide 3), codify certain Guide 3 disclosures into a new Subpart 1400 of Regulation