On June 25, 2024, the Securities and Exchange Commission (the “SEC”) charged an advanced materials company and its former executive officers with market manipulation, fraud and other securities law violations. The charges related to the alleged artificial inflation of the price of the company’s shares and the issuance and sale of shares through the company’s
What’s the Deal? Series: Block Trades, Standalone Blocks, Blocks off of ATMs, Tricky ATM Issues and More
May 9, 2024
8:30 a.m. – 9:30 a.m. EDT | Registration starts at 8 a.m.
Mayer Brown LLP 14th Floor, 1221 Avenue of the Americas, New York, NY 10020
Join us for an in-person CLE on Block Trades, Standalone Blocks, Blocks off of ATMs, Tricky ATM issues and more.
We will discuss the following, among
Pocket MBA 2022: Finance for Lawyers and Other Professionals
November 17 -18, 2022 Hybrid Event
Register here
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
Equity Line Financings: Practical and Legal Considerations
September 7, 2022 Webinar
3:00pm – 4:00pm EDT
Register here.
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
What’s the Deal? The Compendium. (2022 Update)
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
What’s the Deal? Compendium
A compendium of our What’s the Deal? series, providing brief overviews of popular financing methodologies and securities issues and practice pointers, is now available for download here.
SEC Staff Guidance on Private Equity Line Financings
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Commission released today a new Compliance & Disclosure Interpretation, 139.13, relating to equity lines, and has withdrawn several C&DIs (see here).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: IFR US ECM Roundtable: The Great Equity Recapitalization in a Post-COVID-19 Funding Environment
Webinar Event
October 6, 2020, 4:30pm EDT
Register here.
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
Virtual Event: PLI’s Pocket MBA 2020: Finance for Lawyers and Other Professionals
Monday, September 21, 2020 and Tuesday, September 22, 2020
Register here.
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,
Webinar: At-the-Market Offerings
Thursday, October 8, 2020
1:00pm – 2:00pm EDT
Register here.
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