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Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. 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 and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, and related SEC regulations, and on how securities lawyers can solve practical problems that arise under them in the context of public and private offerings, SEC reporting, mergers and acquisitions, and other common corporate transactions.
Anna Pinedo will speak on a panel entitled “Derivatives, Structured Notes and Other Alternatives to Traditional Securities Offerings.”
Topics of discussion will include:
- Derivatives transactions related to securities, including new reporting and clearing obligation
- Structured notes and medium-term note programs
- Spin-offs, carve outs and reverse mergers to go public
- PIPES – private investments in public equity
- Registered direct offerings and block trades
- DRIPs – dividend reinvestment plans
- Registration rights agreements
PLI will provide CLE credit.