Exempt and Hybrid Securities Offerings, published by the Practising Law Institute, is both a comprehensive reference on exempt and hybrid securities offerings, including the history and evolution of exempt offering exemptions, and a practical handbook, with step-by-step guides, practice pointers, and forms. Co-author Anna Pinedo’s 2024 update includes guidance on market trends, rule changes, enforcement
FINRA Rules Applicable to Securities Offerings
November 5, 2024
8:30 a.m. – 9:30 a.m. EDT
Mayer Brown LLP 14th Floor, 1221 Avenue of the Americas, New York, NY 10020
Join us for this in-person CLE on November 5, 2024.
There are a number of FINRA rules to take into account from the perspective of a placement agent or underwriter when undertaking
10th Annual Alternative Finance Summit: Fintech, Blockchain, and Crowdfunding
September 4, 2024
9:00am – 5:00pm ET
Practising Law Insitutue (PLI) will host the 10th Annual Alternative Finance Summit: Fintech, Blockchain, and Crowdfunding program.
Mayer Brown partner Anna Pinedo will participate in a discussion on the “Securities Offering and Private Placement Developments” panel.
See the event webpage for information on the program and the session.
Founder Friendly Funding: The State of the Venture Markets
Based on data in Carta’s recently published State of the Markets report, the venture markets have experienced a slight uptick in number of deals and in dollars raised quarter-over-quarter. Companies on Carta’s platform completed 4% more deals and raised 12% more capital during the second quarter of 2024 compared to the first quarter. During the
The PIPEline’s Heating Up: Recent Trends in PIPE Transactions
The PIPE market has proven to be resilient during times of stress. In 2023, issuers raised over $33.8 billion in 809 PIPE transactions according to PrivateRaise. This is considerably less than in 2021 during which issuers raised over $108.8 billion. However, PIPE transaction activity has accelerated during the first five months of 2024. Between
MB Microtalk: FINRA Notice on Private Placements – Part 3
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses FINRA Regulatory Notice 23-08, which provides supplemental and updated guidance on private placements.
Read our related client alert.
This microtalk is a part of a series on the FINRA Notice on Private Placements. Parts 1, 2 and 4 are available on our MB Microtalk
MB Microtalk: FINRA Notice on Private Placements – Part 2
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses FINRA Regulatory Notice 23-08, which provides supplemental and updated guidance on private placements.
Read our related client alert.
This microtalk is a part of a series on the FINRA Notice on Private Placements. Parts 1, 3 and 4 are available on our MB Microtalk
MB Microtalk: FINRA Notice on Private Placements – Part 1
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses FINRA Regulatory Notice 23-08, which provides supplemental and updated guidance on private placements.
Read our related client alert.
This microtalk is a part of a series on FINRA Regulatory Notice 23-08. Parts 2, 3 and 4 are available on our MB Microtalk page.
AIFMD II – What EU and Non-EU Fund Managers Need To Know
In order to harmonize the regulatory framework governing the European fund market, the European Commission has revised the existing Alternative Investment Fund Manager Directive – Directive 2011/61/EU (the “AIFMD”), with the introduction of the Alternative Investment Fund Manager Directive II (“AIFMD II”).
The European Commission sees a particular need for change in the areas of
Private Capital and Exempt Offering Trends in SEC OASB Report
In its Annual Report (the “Report”), the Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation (OASB) provides data on the reliance by private and public companies on exempt offerings to raise capital. Based on data provided by the SEC’s Division of Economic and Risk Analysis, between July 1, 2022 and