MoFo Classics: Private Placement Market Developments

09/14/2017 08:30 a.m. - 09:30 a.m.

Capital Markets, Private Placements + PIPEs, Banking + Financial Services, Financial Institutions + Financial Services, Financial Services, Late Stage Investments, Equity Offerings, and IPOs

Morrison & Foerster LLP
250 West 55th Street
New York, NY 10019

James R. Tanenbaum and Anna T. Pinedo

Anna T. Pinedo and James R. Tanenbaum

Seminar

Trevor Starer
tstarer@mofo.com
(212) 336-4310

Download Presentation Materials

During this session, we will discuss developments affecting private placements, including:

  • Increased reliance on Section 4(a)(2) instead of the Rule 506 safe harbor;
  • Addressing no registration opinions;
  • Bad actor diligence for issuers and placement agents;
  • Diligence and the use of “big boy” letters;
  • FINRA Rule 5123 updates;
  • FINRA and SEC enforcement developments affecting private placements; and
  • Nasdaq’s 20% rule.

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