Capital-Raising Using Regulation A+

PLI Webinar

04/06/2015 01:00 p.m. - 02:00 p.m. EDT

Capital Markets, Private Placements + PIPEs, and IPOs

Webinar

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Harrison Lawrence
hlawrence@mofo.com
(212) 336-4004

On March 25, 2015, the U.S. Securities and Exchange Commission unanimously adopted final rules, which will be effective this summer, that amend Regulation A.  Regulation A+ will provide an important capital-raising alternative for private companies in the United States and Canada.  A Regulation A+ offering may be used in connection with a primary offering of newly issued shares by a company or to resell securities held by existing stockholders.  Whether you are contemplating a Regulation A+ offering as a precursor to an IPO, as a liquidity opportunity for existing holders or as an alternative to a traditional IPO, you will need to understand the requirements of the final rule.  

Please join Partners David Lynn and Anna Pinedo, and Zachary O. Fallon, Special Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission (invited) as they discuss:

  • Tier 1 and Tier 2 offerings;
  • Eligible issuers and eligible securities;
  • Availability for selling securityholders;
  • Communications rules and testing the waters;
  • Disclosure, financial statement and other filing requirements;
  • Ongoing reporting requirements for Tier 2 issuers; and
  • Concurrent Regulation A+ and Exchange listings.

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