- Professional responsibilities: Due diligence and risks
- Recent SEC rule making and court cases
- Rule 504, Rule 506(b) and
What’s the Deal? Series: Negotiating Private Placement Engagement Letters
April 16, 2025
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
Register here.
Join us for the first in a series of three “What’s the Deal?” seminars relating to private placements. In this first session, we
Private Placements & Hybrid Securities 2025
Join us at the Practising Law Institute’s Private Placements and Hybrid Securities Offerings 2025 conference.
This annual conference provides an overview of the legal framework applicable to private and exempt offerings, covering the basics of private placements, resales of restricted securities, Rule 701, Rule 144, Section 4(a)(1-1/2) transactions and block trades, and private secondary transactions.
Fintech Funding Trends 2024: Capital Raising Slows, Deal Sizes Grow
According to CB Insights’ State of Fintech 2024 Report (the “Report”), global fintech companies raised $33.7 billion in private placements in 2024, marking a 20% drop year-over-year. Deal volume also declined, with 3,580 offerings completed—a 17% decline from the prior year. However, this annual funding decline was the smallest in three years, signaling potential stabilization
FINRA Seeks Public Comment on Proposed Rule Changes
On December 20, 2024, FINRA requested public comment on its proposed rule changes to Rules 5110 (Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities). These proposed rule changes stem from comments received from the public in response to the May 2023 Regulatory Notice 23-09
Small Business Capital Formation Report: Exempt Offerings & Smaller Public Companies
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2024 Annual Report just recently. The Office is required to deliver an annual report to Congress, to the Committee on Banking, Housing and Urban Affairs of the U.S. Senate and the Committee on Financial Services of the U.S. House
Exempt and Hybrid Securities Offerings
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