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Private Offerings: Questions that Might Frequently be Asked Sometime Soon (Part II)
Anna Pinedo and David Lynn
10/2/2013
Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
SEC Adopts Bad Actor Qualifications
Insights: The Corporate & Securities Law Advisor, Vol. 27, No 8
Bradley Berman
August 2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs
Article
Private Offerings: Questions that Might Frequently be Asked Sometime Soon
Anna Pinedo, James Tanenbaum, and David Lynn
7/23/2013
Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Dodd-Frank Update: SEC Adopts Bad Actor Disqualifications for Private Placements under Regulation D
Bradley Berman
7/15/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs
Client Alert
UK Implementation of AIFMD: FCA Notification Forms
Jeremy Jennings-Mares, Peter Green, Jay Baris, and Afia Fening
7/10/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
UK Implementation of AIFMD: UK Private Placement Regime and non-EU Fund Managers
Jeremy Jennings-Mares, Peter Green, Afia Fening, and Jay Baris
7/2/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management, Private Placements + PIPEs
Client Alert
Annual Review of Federal Securities Regulation
The Business Lawyer, Vol. 68, No. 3
Anna Pinedo, Chrys Carey, Ze'-ev Eiger, Neeraj Kumar, David Lynn, Michael Rosenberg, and Helen Yu
May 2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Emerging Companies + Venture Capital, Equity Offerings, Financial Institutions + Financial Services, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance, Securities: Regulatory + Enforcement
Article
Reprinted with permission.
JOBS Act Quick Start
A brief overview of the JOBS Act
International Financial Law Review
Nilene Evans, David Lynn, and Anna Pinedo
February 2013
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Book
Distinctions without a difference for US securities?
International Financial Law Review – International Briefings 2013
Anna Pinedo and James Tanenbaum
February 2013
Capital Markets, New Products, Private Placements + PIPEs
Article
Reprinted with permission.
FINRA Issues Guidance for Private Placement Filings
Nilene Evans, Anna Pinedo, and Hillel Cohn
12/10/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Private Equity Funds, Private Placements + PIPEs
Client Alert
Solicitation Emancipation:
Proposed Rules Relating to the Relaxation of the Prohibition on General Solicitation
Jay Baris, Kelley Howes, David Lynn, Anna Pinedo, Robert Putney, Isabelle Sajous, and James Tanenbaum
8/29/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
SEC Adopts New FINRA Rule 5123 on Private Placements
Gerd Thomsen
6/15/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Private Placements + PIPEs
Client Alert
Accessing the US Markets: A Warmer Climate for Foreign Issuers
Practical Law Company
Anna Pinedo and James Tanenbaum
June 2012
Capital Markets, Global Offerings, IPOs, Private Placements + PIPEs
Article
This article first appeared in the June 2012 issue of PLC Magazine.
BNA Insights: Is Nothing Private Anymore?
Daily Report for Executives
Bloomberg BNA
Anna Pinedo and James Tanenbaum
5/18/2012
Capital Markets, Private Placements + PIPEs
Article
Reproduced with permission from Daily Report for Executives, 96 DER B-1, 5/18/2012, 05/18/2012. Copyright 2012 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com
The JOBS Act:
Opportunities and Risks for Broker-Dealers
Hillel Cohn
5/14/2012
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Corporate, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Financial Services, Investment Management, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
The Other Global Warming:
The Impact of the JOBS Act on Foreign Issuers
Practical Law Company
Anna Pinedo and James Tanenbaum
May 2012
Capital Markets, Global Offerings, IPOs, Private Placements + PIPEs
Article
Welcome to America. Again
International Financial Law Review
Anna Pinedo and James Tanenbaum
5/1/2012
Capital Markets, Global Offerings, IPOs, Private Placements + PIPEs
Article
Reprinted with permission.
Bank Shot:
JOBS Act Facilitates Capital Raising by Banks
Neeraj Kumar
4/20/2012
Capital Markets, Emerging Companies + Venture Capital, Equity Offerings, Financial Institutions + Financial Services, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
A Quick Guide To The JOBS Act
Practical Law Company
David Lynn and Anna Pinedo
4/16/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Article
Reprinted with permission. Copyright © 2012 Practical Law Publishing Limited and Practical Law Company, Inc. All Rights Reserved. Use of PLC websites and services is subject to the Terms of Use and Privacy Policy.
Private Offerings after the JOBS Act and Section 3(b) Exempt Offerings
David Lynn and Anna Pinedo
4/13/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, Private Placements + PIPEs
Multimedia
Additional JOBS Act Guidance
David Lynn and Anna Pinedo
4/12/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Guidance on General Solicitation and General Advertising in Rule 506 Offerings Following Enactment of the JOBS Act
David Lynn and Anna Pinedo
4/6/2012
Capital Markets, Global Offerings, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Considerations for Foreign Banks Financing in the US
International Financial Law Review
Ze'-ev Eiger, Nilene Evans, Lloyd Harmetz, David Lynn, Jerry Marlatt, Barbara Mendelson, Anna Pinedo, Gerd Thomsen, and Edward Welch
April 2012
Capital Markets, Covered Bonds, Debt Offerings + 144A Offerings, Debt Private Placements, Derivatives + Commodities, Global Offerings, Private Placements + PIPEs, Structured Products
Book
Reprinted with permission.
Private Offerings after the JOBS Act
David Lynn and Anna Pinedo
4/1/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, Private Placements + PIPEs, Public Companies Counseling + Compliance
Multimedia
The JOBS Act
David Lynn and Anna Pinedo
3/26/2012
Capital Markets, Corporate, Debt Offerings + 144A Offerings, Emerging Companies + Venture Capital, Life Sciences, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
FINRA Files Amendments to FINRA Rule 5123 on Private Placements
Gerd Thomsen
1/26/2012
Broker-Dealer Compliance + Regulation, Capital Markets, Private Equity Funds, Private Placements + PIPEs
Client Alert
One Down, One to Go: The SEC Completes the First Required Dodd-Frank Act Regulation D Rulemaking
David Lynn
1/18/2012
Capital Markets, Private Equity Funds, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
IPO "On-Ramp"
Michael Rosenberg
12/20/2011
Capital Markets, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Government Responds to New Sense of Urgency for Securities Reform
New York Law Journal
Anna Pinedo and James Tanenbaum
12/19/2011
Capital Markets, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Article
Reprinted with permission from the December 19, 2011 edition of the NEW YORK LAW JOURNAL©2010 ALM Media Properties, LLC. All rights reserved.
What's New with Pipe's, Registered Directs and Confidentially Marketed Offerings
11/17/2011
Capital Markets, Private Placements + PIPEs
Multimedia
Legislative Proposals to Facilitate Capital Formation Advance
Michael Rosenberg
11/7/2011
Capital Markets, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Reg A A-Okay – House Approves the Small Company Capital Formation Act
Anna Pinedo and Gerd Thomsen
11/4/2011
Capital Markets, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Developments in Private Placements
11/3/2011
Capital Markets, Private Placements + PIPEs
Multimedia
Legislative Proposals to Facilitate Small Business Capital Formation
Michael Rosenberg and Nilene Evans
10/13/2011
Capital Markets, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
The Evolution of a Rule: FINRA Proposes Rule 5123 in lieu of Proposed Rule 5122
10/10/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Private Equity Funds, Private Equity Investments + Buyouts, Private Placements + PIPEs
Client Alert
Private Capital Formation
International Financial Law Review
Anna Pinedo and James Tanenbaum
10/2011
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Article
Reprinted with permission.
The Dodd-Frank Act and Foreign Venture Capitalists
Israel High-Tech Investor
9/2011
Capital Markets, Private Equity Funds, Private Placements + PIPEs
Article
Reprinted with permission.
House Financial Services Committee Approves the Small Company Capital Formation Act; Regulation A Revival Closer?
Anna Pinedo and Gerd Thomsen
6/24/2011
Capital Markets, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Legislative Action on Exchange Act Registration Thresholds
David Lynn and Anna Pinedo
6/21/2011
Capital Markets, Corporate, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Dodd-Frank Update: SEC Proposes Bad Actor Disqualifications for Private Placements under Regulation D
David Lynn
6/3/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Corporate, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
FINRA to Repropose Rule Addressing Participation of Broker-Dealers in Private Placements
Nilene Evans
4/18/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Private Equity Funds, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
All Things Canadian:
Securities Offerings involving Canadian Issuers, Dual-Listed Issuers or Sales into Canada
4/4/2011
Capital Markets, Financial Institutions + Financial Services, Global Offerings, Private Placements + PIPEs
Multimedia
Small Company Capital Formation Act of 2011; Regulation A Revival?
Anna Pinedo and Gerd Thomsen
3/30/2011
Capital Markets, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
FINRA Proposes Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Gerd Thomsen
2/15/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Corporate, Private Placements + PIPEs
Client Alert
SEC Proposes Amendments to Its Net Worth Standard for Accredited Investors
Gerd Thomsen
1/25/2011
Capital Markets, Corporate, Private Equity Funds, Private Placements + PIPEs
Client Alert
Hybrid Financing: Certain Ideas for Uncertain Times
James Tanenbaum
1/3/2011
Capital Markets, Equity Offerings, New Products, Private Placements + PIPEs
Multimedia
LegalMinds.tv Reprinted with permission.
Exempt and Hybrid Securities Offerings
Anna Pinedo and James Tanenbaum
2011
Capital Markets, Private Placements + PIPEs
Book
FINRA Issues Regulatory Notice Reminding Broker-Dealers of their Obligation to Conduct Reasonable Investigations in Regulation D Offerings
Anna Pinedo, Gerd Thomsen, and James Tanenbaum
5/2010
Capital Markets, Corporate, Financial Institutions + Financial Services, Private Placements + PIPEs
Client Alert
Fundamental Transaction Adjustments in Warrants and Convertible Securities
Anna Pinedo
2/18/2010
Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs
Client Alert
A 20% Solution?
Investment Dealers' Digest
Anna Pinedo and James Tanenbaum
2/5/2010
Capital Markets, Private Placements + PIPEs
Article
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