PLI Webinar
May 20, 2020
3:00pm – 4:00pm EDT
Register here for the free webinar.

The Securities and Exchange Commission approved a rule filing from Nasdaq granting temporary relief from the shareholder approval requirements in respect of certain transactions. Nasdaq has adopted Listing Rule 5336T, which provides for limited relief from Nasdaq Listing Rule 5635(d)

The article, part of the Thomson Reuters Practical Law Global Guides to Debt Capital Markets Law and Equity Capital Markets Law, examines the various exemptions available for the resale of restricted and control securities under the US Securities Act of 1933 (as amended), the conditions applicable to the use of these exemptions and other relevant

Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd Frank”) requires the Securities and Exchange Commission (“SEC”) to adopt rules that would make the exemption from registration under the Securities Act of 1933 (“Securities Act”) provided by Rule 506 of Regulation D thereof unavailable for any securities offering in which certain

April 8, 2020
12:00 – 1:00 PM ET
Register here.

PIPE transactions remain an important capital-raising alternative, especially during periods of market volatility.

Whether a public company is seeking to raise additional capital from sector or financial investors, effect a recapitalization or restructuring, or facilitate a liquidity opportunity for an existing stockholder, a PIPE

PIPE transactions remain an important capital-raising alternative, especially during periods of market volatility. Whether a public company is seeking to raise additional capital from sector or financial investors, effect a recapitalization or restructuring, or facilitate a liquidity opportunity for an existing stockholder, a PIPE transaction may be the most efficient approach.

Access presentations, podcasts, articles

March 26, 2020
4:30 – 5:15 PM ET
Register here

Many companies may be considering capital-raising transactions, including a private placement or PIPE transaction.  Your transaction will be affected by the requirements of the securities exchanges to seek shareholder approval in certain circumstances.

During this webcast, we will address:

  • Change of control issues;
  • Stock sales

April 20-21
For additional details, or to register, please visit the event website.

Please note, PLI’s Private Placements and Hybrid Securities Offerings conference will be held via webcast this year.

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

April 20-21, 2020
1177 Avenue of the Americas
Click here for additional details and to register.

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