November 17 -18, 2022 Hybrid Event

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Practising Law Institute (PLI) is hosting its annual Pocket MBA 2022: Finance for Lawyers and Other Professionals program. Pocket MBA is PLI’s hallmark program for attorneys representing clients in the financial industry, but their background training is not primarily in accounting principles and financial concepts. This program

September 7, 2022 Webinar

3:00pm – 4:00pm EDT

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Many SPACs and former SPACs, as well as other mid-cap public companies, are considering financing through equity line financing arrangements. Equity line transactions are similar in many ways to the more common at-the-market offering structure but distinct in important respects. During this briefing hosted

Well, What’s the Deal?

We updated our popular series and published a new compendium. It includes brief discussions in plain English on popular financing methodologies, securities law issues, and practice pointers. With over 170 pages of content, the compendium is available online now to print. See also the tab on the left.

Request your paperback

The Staff of the Division of Corporation Finance of the Securities and Exchange Commission released today a new Compliance & Disclosure Interpretation, 139.13, relating to equity lines, and has withdrawn several C&DIs (see here).  For convenience, the text of 139.13 is reprinted below.

Question 139.13

Question: In many equity line financings, the company

Webinar Event
October 6, 2020, 4:30pm EDT
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This year’s US ECM Roundtable will be held as a virtual, two-part event, which will bring together senior market professionals to assess current themes in the industry and provide an outlook for the future.

The first webcast, titled The Great Equity Recapitalization in a Post-COVID-19

Monday, September 21, 2020 and Tuesday, September 22, 2020
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The PLI Pocket MBA is for attorneys representing clients in the financial industry. This two-day program is designed to improve your understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers.

Partner Jen Carlson, co-chair of the event,

Thursday, October 8, 2020
1:00pm – 2:00pm EDT
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Any issuer eligible to register its securities on Form S-3 should consider setting up an ATM program in order to maximize its opportunity to raise just-in-time capital.  As a result of the economic downturn, volatility and uncertainty resulting from the pandemic, many issues have found

PLI Webinar
July 9, 2020
1:00 pm- 2:00 pm EDT
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Many smaller public companies seek access to financing through equity line financing arrangements.  Equity line transactions often are confused with continuous offerings that are structured as at the market offering programs.  Each financing alternative has distinct characteristics, and differ in important respects.  During