Developments in the PIPEs and Registered Direct Markets


Corporate Finance | Capital Markets, Private Placements, and Equity Offerings

New York, NY


Panelists discussed developments in the PIPEs and registered direct markets, including the SEC’s reforms to Rule 144 and Form S-3 eligibility; changes to documentation, including registration rights; and the SEC’s comments on primaries, shorting/hedging and other matters, including enforcement actions. Mr. Donohoe addressed NASDAQ shareholder approval rules (including the 20% rule) and other recent NASDAQ rule changes.

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