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Our FAQs book is written and published by MoFo lawyers on an annual basis. The FAQs provide plain English explanations of the most popular types of financing or capital formation transactions, as well as discussions of securities law issues.

Corporate Finance + Capital Markets FAQs

Corporate Finance + Capital Markets FAQ's

Morrison & Foerster’s FAQs book is written and published by MoFo lawyers on an annual basis. The FAQs provide plain English explanations of the most popular types of financing or capital formation transactions, as well as discussions of securities law issues. Selected chapters are below.<ul><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt08688f90816d90c7/627313d50d4d8e1d7f10f1ce/research-quick-guide-offerings.pdf">Research Quick Guide to Offerings</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltbfb30ee53640babc/627313da5f7b601eaaebcece/faq_quick_guide_derivatives.pdf">A Quick Guide to Derivatives</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltddb24b34603a5afc/627313dbb5ad5f2863c594d4/faqsthe20percentrulenonregisteredsecurities.pdf">Frequently Asked Questions about the 20% Rule and Non-Registered Securities Offerings</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltf69f2ea7c45f697c/627313db220ab5285f518f91/faqatthemarketofferings.pdf">Frequently Asked Questions about At-the-Market Offerings</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt0281f3df271a0f90/627313dd23c6cf2a1c3af483/faqs-disqualification-provisions.pdf"> Frequently Asked Questions relating to the Bad Actor Disqualification Provisions </a></li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt372cb10c9c0c0485/627313df8e09542a15b7ddc9/faqs-block-trade-reporting-requirements.pdf">Frequently Asked Questions about Block Trade Reporting Requirements</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltb91c2d11330d449e/627313e00d4d8e1d7f10f1d2/faqs-bought-deals-block-trades.pdf">Frequently Asked Questions about Bought Deals and Block Trades</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt8030c797d99266b7/627313e0a1a1dd2aa9f6c8e2/faq-business-development-companies.pdf">Frequently Asked Questions about Business Development Companies</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt6232d5db570afde8/627313e57198441d81b3a46f/faqs-closed-end-funds.pdf">Frequently Asked Questions about Closed-End Funds</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt88bb9237a26820fe/627313e5deee7329767e7594/faqsrelatingtocomfortletters.pdf">Frequently Asked Questions relating to Comfort Letters and Comfort Letter Practice</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt72398213ce94ad2b/627313e6a1a1dd2aa9f6c8e6/faqs-commercial-paper-and-commercial-paper-programs.pdf">Frequently Asked Questions about Commercial Paper and Commercial Paper Programs</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt8a5e80fe88cad274/627313e68e09542a15b7ddcd/faq_communications.pdf">Frequently Asked Questions about Communications Issues for Issuers and Financial Intermediaries</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt9375a58ef3f3b294/627313e7220ab5285f518f95/faq-confidential-treatment-requests.pdf">Frequently Asked Questions about Confidential Treatment Requests</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt82b9b14046e3b37f/627313e80cffdf1eb1369cc8/faqs-contingent-capital.pdf">Frequently Asked Questions about Contingent Capital</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt2ac12576681d56ab/627313e87198441d81b3a473/faqscoveredbonds.pdf">Frequently Asked Questions about Covered Bonds</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt5180c13b027c62fb/627313e90d4d8e1d7f10f1d6/faqemtn.pdf">Frequently Asked Questions about European MTN Programs</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt5bd4ed8cf156a692/627313ee4d9f8929712900bd/faqeuropeansecuritieslitigation.pdf">Frequently Asked Questions about European Securities Legislation</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt08096d728ec968c4/627313efa1a1dd2aa9f6c8ea/faqs-eus-alternative-investment-fund-directive.pdf">Frequently Asked Questions about EU’s Alternative Investment Fund Managers Directive</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt211ac80b8699367f/627313efdeee7329767e7598/faqs-exchange-traded-notes.pdf">Frequently Asked Questions about Exchange-Traded Notes</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt5b1c3ad31510e016/627313f0b5ad5f2863c594d8/faqsfinracommunicationrules.pdf">Frequently Asked Questions about the FINRA Communication Rules</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt66b25dd86927427f/627313f14d9f8929712900c1/faq-finra-rule-2111-suitability.pdf">Frequently Asked Questions about FINRA Rule 2111 – Suitability</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt6798483db3f61a69/627313f2a1a1dd2aa9f6c8ee/100521faqforeignprivate.pdf">Frequently Asked Questions about Foreign Private Issuers</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt10e8972bfb5b32d8/627313f25f7b601eaaebced6/faq-form-8-k.pdf">Frequently Asked Questions about Form 8-K</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltfeecd858cdcaa207/627311755f7b601eaaebce36/faq-form-8-k-relevant-to-real-estate-investment-trusts.pdf" target="_blank">Frequently Asked Questions about Form 8-K Relevant to Public Real Estate Investment Trusts</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt6cfe98bddec95775/627313f34886af2aa2be0fc6/faq-ipos.pdf">Frequently Asked Questions about Initial Public Offerings</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt522051f08e24b9e4/627313f74886af2aa2be0fca/faqinternalcontroloverfinancialreporting.pdf">Frequently Asked Questions about Internal Control Over Financial Reporting</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt223de3ad981b0de2/627313f80cffdf1eb1369ccc/faqs-interval-funds.pdf">Frequently Asked Questions about Interval Funds</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt4ccee4009dda9b3d/627313f8deee7329767e759c/faqcompanywebsitecontent.pdf">Frequently Asked Questions about Liability of Public Companies and Companies in Registration for Website and Social Media Content</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltd72cb7ee06d08527/627313f9a1a1dd2aa9f6c8f2/080818faqsmtn.pdf">Frequently Asked Questions about MTN Programs</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt3bda4e9df758dba4/627313fab5ad5f2863c594dc/faqs-multijurisdictional-disclosure-system.pdf">Frequently Asked Questions about the Multijurisdictional Disclosure System</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt73aad7c42a7057dc/627313fb0cffdf1eb1369cd0/faq-periodic-reporting-requirements-for-us-issuers-overview.pdf">Frequently Asked Questions about Periodic Reporting Requirements for U.S. Issuers - Overview</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt156bf192c4415bcb/627313fb5f7b601eaaebceda/faq-periodic-reporting-requirements-for-us-issuers-principal-exchange-act-reports.pdf">Frequently Asked Questions about Periodic Reporting Requirements for U.S. Issuers - Principal Exchange Act Reports</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltcb7d05de936ffd2f/627313fcdeee7329767e75a0/faqspipes.pdf">Frequently Asked Questions about PIPEs</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt154306d8f2a4fa21/6273140123c6cf2a1c3af487/faq-priips-regulation.pdf">Frequently Asked Questions about the PRIIPs Regulation</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltc34398d99cdb6913/6273116db5ad5f2863c59438/190722-reit-faqs.pdf">Frequently Asked Questions about Real Estate Investment Trusts</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt04979ac5353ce9f3/627314018e09542a15b7ddd1/faqsregistereddirect.pdf">Frequently Asked Questions about Registered Directs</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt003e446c6df2717f/627314025f7b601eaaebcede/faqs-regulation-fd.pdf">Frequently Asked Questions about Regulation FD</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltb2a32f1d8f77e9c5/627314024886af2aa2be0fce/faqs-regulation-m.pdf">Frequently Asked Questions about Regulation M</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt0e6d5ae720ac94d1/627314034d9f8929712900c7/faqs-regulation-s.pdf">Frequently Asked Questions about Regulation S</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltfa3e0fda3c33db54/6273140323c6cf2a1c3af48b/frequently-asked-questions-about-retrospectively-revised-financial-statements.pdf">Frequently Asked Questions about Retrospectively Revised Financial Statements</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt64b7524f0efcac9b/62731404b5ad5f2863c594e0/faqrightsofferingsv2.pdf">Frequently Asked Questions about Rights Offerings</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltde601bfce45ae14f/627314040cffdf1eb1369cd4/faq-rule-10b-18-stock-repurchases.pdf">Frequently Asked Questions about Rule 10b-18 and Stock Repurchase Programs</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt775b60df03c69477/6273140923c6cf2a1c3af48f/faq10b51.pdf">Frequently Asked Questions about Rule 10b5-1 Plans</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt72027fa6c2dda764/6273117bdeee7329767e74cc/faqrule144_145.pdf">Frequently Asked Questions about Rule 144 and Rule 145 </a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt7cb1b6c90a5b8373/627314090cffdf1eb1369cd8/faqrule144a.pdf">Frequently Asked Questions about Rule 144A </a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt9f9a18e67781320a/6273140aa1a1dd2aa9f6c8f6/faq-rule-144a-equity-offerings.pdf">Frequently Asked Questions about Rule 144A Equity Offerings</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt84b721f639487b56/6273140a4886af2aa2be0fd2/150710frequentlyaskedquestionsaboutrule15a_6.pdf">Frequently Asked Questions about Rule 15a - 6</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt2892eda77427112d/6273140cdeee7329767e75a4/faqs-section-3a2-bank-note-programs.pdf" target="_blank">Frequently Asked Questions about Section 3(a)(2) Bank Note Programs</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltf94e9fb08205b557/6273140d8e09542a15b7ddd5/frequently-asked-questions-about-separation-of-research-and-investment-banking.pdf">Frequently Asked Questions about Separation of Research and Investment Banking</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt5b75d7c57685d212/6273140d4d9f8929712900cb/frequently-asked-questions-about-shareholder-proposals-and-proxy-access.pdf">Frequently Asked Questions about Shareholder Proposals and Proxy Access</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltb95f2d92c4c75f58/6273140eb5ad5f2863c594e4/faqshelfofferings.pdf">Frequently Asked Questions about Shelf Offerings</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt58bd1b0cfc19bb5c/627314127198441d81b3a477/frequently-asked-questions-about-structured-certificates-of-deposit.pdf">Frequently Asked Questions about Structured Certificates of Deposit</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/bltfb7c16a664048c6a/627314138e09542a15b7ddd9/faq-suspending-reporting-obligations.pdf">Frequently Asked Questions about Suspending/Terminating Reporting Obligations</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt7edda28d637f692d/627314145f7b601eaaebcee2/faq-trust-indenture-act-1939.pdf">Frequently Asked Questions about the Trust Indenture Act of 1939</a> </li><li><a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blt8f68dc7d66ee8afd/627314144d9f8929712900cf/faq-unit-investment-trusts.pdf">Frequently Asked Questions about Unit Investment Trusts</a> </li></ul>

Corporate Finance + Capital Markets FAQs