Communications Rules and Public Companies

10/28/2014 08:15 a.m. - 09:45 a.m.

Banking + Financial Services, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, Investment Management, and Public Companies Counseling + Compliance

Morrison & Foerster LLP
250 W 55th Street
21st Floor
New York, NY 10019

David M. Lynn and Marty Dunn

David M. Lynn and Marty Dunn


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Harrison Lawrence
(212) 336-4004

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During this session, we will focus on the existing communications safe harbors under the Securities Act available to private companies contemplating an IPO or other financing and those available to seasoned public companies. We will discuss:

  • Concerns about press releases and research reports in proximity to an offering;
  • Non-deal roadshows;
  • Regulation FD;
  • The “bad news” doctrine; and
  • Research reports.


  • David Lynn
  • Marty Dunn
  • Thomas Yang, Bank of America Merrill Lynch

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