What You Need to Know About Capital Markets Law: SEC Securities Registration vs. Private Placements, SEC Reporting and SEC Liability

New York City Bar

09/15/2017

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

Anna T. Pinedo

Speaking Engagement

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:

  • How to identify exemptions and do a private placement; and
  • Reg. D, Reg. A and other exemptions and safe harbors.

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