Capital Markets, Private Placements + PIPEs, Banking + Financial Services, Financial Institutions + Financial Services, and Financial Services
New York City Bar 42 West 44th St New York, NY 10036
Anna T. Pinedo
A prominent faculty of securities lawyers will provide you with an overview of the Securities Act of 1933 and the Securities Exchange Act of 1934. A discussion of the regulatory framework, the SEC registration process, registration exemptions, liability for violations, periodic reporting under the Exchange Act, proxy solicitations and SEC initiatives will be included in the program. You will learn how to identify and respond to securities law issues and avoid potential securities law violations. The program will cover initial public offerings (IPOs) and private placements.
Partner Anna Pinedo will speak on a panel entitled “Private Placements and Exemptions.” Topics will include:
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