49th Annual Institute on Securities Regulation

PLI Seminar

11/08/2017 - 11/10/2017

Capital Markets, Equity Offerings, Public Companies Counseling + Compliance, and Corporate Governance

The Roosevelt Hotel
45 East 45th Street
New York, NY 10017

Anna T. Pinedo and Marty Dunn

Anna T. Pinedo and Marty Dunn

Speaking Engagement

PLI's 49th Annual Institute on Securities Regulation will be composed of seasoned individuals from private practice, investment banking, accounting firms, corporations, and government agencies. These experts will put the developments of the past year into proper perspective, and prepare you for 2018 and beyond.

Partner Anna Pinedo will participate in a panel discussion entitled “Private Offerings and Public Offerings by Smaller Reporting Companies” on day one of the program. Topics will include:

• General solicitation and private offerings under Rule 506;
• Integration of private to private and private to public offerings – what will it take to fix the uncertainty?;
• Regulation A and Crowdfunding – are they working and where do they work the best?; and
• Public capital raising by smaller reporting companies – what’s on the reform agenda?

Senior Of Counsel Marty Dunn will participate in a panel discussion entitled “Securities Law Grab Bag: Your Frequent Questions Answered” on day two of the program. Topics will include:

• Our answers and analysis for important securities and compliance questions;
• Avoiding the pitfalls in the offering process;
• Making the right disclosure decisions under common (and not so common) scenarios;
• Approaching the compliance function: our best practice answers;
• Frequent governance considerations and the best ways to handle them; and
• Do we have to close the trading window?

PLI will provide CLE credit.

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