Private Placements

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On September 21, 2023, the U.S. Securities and Exchange Commission’s (the “SEC”) Investor Advisory Committee (“IAC”) met to consider certain matters included on the SEC’s rulemaking agenda for this fall, such as exempt offerings under Regulation D Rule 506 and the definition of accredited investor.  The following provides a brief summary of discussions at the…

September 26, 2023 Webinar
9:00 a.m. EDT
Register here.

Alternative finance continues to drive significant engagement with the investment community. But it also raises many more questions than answers about what the future holds for fintech, blockchain and crowdfunding. The Practising Law Insitutue (PLI) will host this program where leading industry lawyers, dealmakers, and…

The Securities and Exchange Commission’s Investor Advisory Committee will meet on September 21, 2023 and has announced its agenda for the meeting, which includes consideration of certain matters that are included on the SEC’s rulemaking agenda for this fall.

For example, the Committee will host a panel discussion regarding Rule 506 offerings.  The agenda notes…

August 7, 2023 Webinar

3:00 p.m. – 4:00 p.m. EDT

Register here.

The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently issued Regulatory Notice 23-08 which provides supplemental and updated guidance for FINRA members conducting private placements of securities. The notice reminds FINRA members of their obligations in light of changes in the legal and…

On May 9, 2023, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued Regulatory Notice 23-08 (the “Notice”), which provides supplemental and updated guidance for members conducting private placements pursuant to the Regulation D safe harbors under Sections 3 or 4 of the Securities Act of 1933, as amended.

The Notice does not change existing laws…

On May 9, 2023, FINRA issued Regulatory Notice 23-08 (the “Notice”), which provides supplemental and updated guidance for members conducting private placements pursuant to Sections 3 or 4 of the Securities Act of 1933, as amended.

The Notice does not change any existing laws, regulations or interpretations of existing requirements. Rather, the Notice was provided…

March 14 – 15, 2023 Hybrid

Register here.

The Practising Law Institute (PLI) will host a two-day, hybrid program, Private Placements and Hybrid Securities Offerings 2023, from March 14 – 15, 2023. Chaired by Mayer Brown partner, Anna Pinedo, the program covers the basics of private placements, resales of restricted securities, Section 4(a)(1-1/2) transactions…

Commissioner Crenshaw’s remarks on January 30, 2023, once again, touched on Regulation D and the private markets.  It is understandable that, given companies in the United States have become increasingly reliant on private capital to fuel their growth, a regulator would seek to focus on the private markets.  The “how did we get here” part…

Anna Pinedo joined Dave Lynn, Senior Editor of TheCorporateCounsel.net and host of the Deep Dive with Dave, to discuss the publication of the fourth edition of her treatise, Exempt and Hybrid Securities Offerings, published by the Practising Law Institute.

The two discuss significant regulatory developments in exempt and hybrid offerings, the evolution of…

The fourth edition of Exempt and Hybrid Securities Offerings, which is a three-volume treatise, that provides comprehensive guidance on structuring exempt and hybrid securities offerings was recently published by the Practising Law Institute.

Updating the treatise (which was last updated in 2017) was a chore, given it is about 4,000 pages of content and…