A Rule 10b5‐1 plan is a written securities trading plan that is designed to comply with Rule 10b5‐1(c) of the Securities Exchange Act of 1934, as amended. Any person or entity executing pre‐planned transactions pursuant to a Rule 10b5‐1 plan that was established in good faith at a time when that person or entity was
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
Podcast: Regulatory Redux: FDIC Proposes Brokered Deposit Revisions
On July 30, 2024, the FDIC proposed revisions to the restrictions on brokered deposits. The revisions would undo many of the key elements of the 2020 revisions and would dramatically expand the number of deposit brokers and the amount of deposits that are brokered. Listen to our podcast to understand what this rollback will mean
At A Glance: Covered Bonds in 2023
Following the financial sector disruptions in 2023, financial institutions turned first to covered bonds for funding and the covered bond market demonstrated its resilience. Just as the covered bond market remained available through the financial crisis in 2008 through 2010, it remained a safe harbor in recent times. Now, four continents (in addition to Europe)
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.
MB Microtalk: SEC Exam Priorities – Part 3
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 examination priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more.
Read the related client alert.
This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 1 and 2 are available on our MB Microtalk
MB Microtalk: SEC Exam Priorities – Part 2
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 exam priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more.
Read the related client alert.
This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 1 and 3 are available on our MB Microtalk
MB Microtalk: SEC Exam Priorities – Part 1
In this MB Microtalk video, Mayer Brown’s Tim Nagy discusses the SEC’s 2024 exam priorities, including examinations of investment advisers, registered investment companies, broker-dealers and more.
Read the related client alert.
This microtalk is a part of a series on the SEC’s Exam Priorities. Parts 2 and 3 are available on our MB Microtalk