May 23-24, 2019
Live Program: PLI New York Center
1177 Avenue Of The Americas, Second Floor
New York, NY
Join us as we walk you through the basics of private placements, resales of restricted securities, Section 4(a)(1-1/2) transactions and block trades. We will address the changes to private and exempt offerings brought about by the…
McKinsey Global Private Markets Review 2019 provides important data on the private markets. The report notes that private equity’s net asset value has grown more than sevenfold since 2002, which is twice as fast as global public equities. Private markets, the report concludes, have gone from alternative to mainstream. See the full report here: https://mck.co/2Ux3IkZ
Tuesday, February 26, 2019
Registration: 8:30a.m. – 9:00 a.m.
Program: 9:00a.m. – 10:00 a.m.
Location
Mayer Brown LLP
1221 Avenue of the Americas,
New York, NY 10020
Successful privately held companies considering their liquidity opportunities or eyeing an IPO often turn to late stage private placements. Late stage private placements with institutional investors, cross-over investors…
FINRA today published its Report on FINRA Examination Findings and highlights private placement related concerns. In its examinations of the practices of many broker-dealers, the report notes FINRA found instances where the diligence review undertaken in connection with private placements was not sufficient in scope or depth to be considered a “reasonable investigation of the…
Wednesday, August 15, 2018
1:00 p.m. – 2:00 p.m. EDT
PIPE transactions remain an important capital-raising alternative. Whether a public company is seeking to finance an acquisition, effect a recapitalization or restructuring, or facilitate a liquidity opportunity for an existing stockholder, a PIPE transaction may be the most efficient approach.
During this session, Partner…
Large, late stage private capital raises for privately held companies continue to be the preferred method of financing growth for many new companies, particularly those in the tech sector. A recent analysis conducted by data provider CB Insights examined what the industry calls “mega-deals” or “private-IPOs,” which are private placements raising over $100 million in…
July 19 – 20, 2018
PLI New York Center
1177 Avenue of the Americas
(2nd Floor)
New York, NY 10036
This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners as well as SEC staff. Emphasis will be placed on…
At the Wall Street Journal’s CFO Network annual meeting held in Washington DC on June 11, 2018, Securities and Exchange Commission Chair Jay Clayton provided some insights on areas of focus for the Commission. Chair Clayton noted that the Commission remains focused on measures designed to promote capital formation without sacrificing investor protection. Chair Clayton…
Early in 2018, the Nasdaq filed with the SEC an amendment that would update certain aspects of the Nasdaq shareholder approval rules, Rule 5635. The proposal would:
…
The recently updated Securities and Exchange Commission agenda (see here and here) provides some insight on what to expect in upcoming months. The amendments to the smaller reporting company definition, which were widely supported when proposed, remain in the “final rule stage.” Likewise, the amendments to implement the FAST Act report and disclosure update…
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