With the January 3, 2023, deadline fast approaching for compliance with Exchange Act Rule 15c2-11, as amended and reinterpreted by the staff of the US Securities and Exchange Commission (“SEC”) to apply to fixed income securities (the “Rule”), the SEC staff granted some temporary relief in a new no-action letter on November 30. Participants in
Rule 15c2-11: SEC “Clarification” of Broker-Dealer Focused Rule Sending Shockwaves Through Debt Capital Markets
August 17, 2022 Webinar
1:00pm – 2:00pm ET
Register here.
This PLI briefing will provide an overview of a December 2021 SEC clarification that it would begin applying Rule 15c2-11 to broker-dealer quotations for fixed income securities, including securities traded under Rule 144A among QIBs. This “clarification” would require private “Rule 144A” issuers to
What’s the Deal? The Compendium. (2022 Update)
Well, What’s the Deal?
We updated our popular series and published a new compendium. It includes brief discussions in plain English on popular financing methodologies, securities law issues, and practice pointers. With over 170 pages of content, the compendium is available online now to print. See also the tab on the left.
Request your paperback
PLI’s Private Placements and Hybrid Securities Offerings 2022
March 31 – April 1, 2022 Webinar
Register here.
Mayer Brown invites you to the Practising Law Institute’s Private Placements and Hybrid Securities Offerings 2022 virtual conference.
Private Placements and Hybrid Securities Offerings 2022 will cover the basics of private placements, resales of restricted securities, Section 4(a)(1-1/2) transactions and block trades. The program will
What’s the Deal? – Regulation S
Regulation S – it’s all about the definitions. US persons, distribution compliance periods, category 1, category 2, category 3, offshore transactions, directed selling efforts… where does it end? It ends at our new What’s the Deal? – Regulation S guide, where you will find clear and succinct answers to many of the questions raised by
What’s the Deal? – Rule 144A
In the latest installment of our What’s the Deal? series, we provide an overview of the Rule 144A resale exemption, and discuss traditional Rule 144A offerings, as well as Rule 144A basics. Access our What’s the Deal? guide.
You may also be interested in comparing Rule 144A offerings to other offering formats—a number
West LegalEdcenter Webinar – Bank Notes Programs
Tuesday, November 6, 2018
1:00 p.m. – 2:00 p.m. EDT
Section 3(a)(2) of the Securities Act provides an exemption from registration for securities issued by banks. During this session, Counsel Bradley Berman and Citigroup’s Jack McSpadden will cover the requirements of that exemption, offering structures for non-U.S. banks, the Office of the Comptroller of the
PLI Seminar: Understanding the Securities Laws 2018
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
PLI Seminar: Private Placements and Hybrid Securities Offerings 2018
May 21 – 22, 2018
PLI New York Center
1177 Avenue of the Americas
(2nd Floor)
New York, NY 10036
Join PLI’s expert faculty of leading practitioners and regulators as they discuss and analyze the changing regulatory framework and market for private offerings. The faculty will begin by addressing the basics of private placements, sales