Don't Forget FINRA

West Legalworks Webcast

13 Mar 2012 12:00 p.m. - 01:00 p.m. EDT

This program will cover the principal Financial Industry Regulatory Authority (FINRA) requirements applicable for offerings and the available exceptions to consider in connection with an offering. Anna Pinedo, Partner at Morrison & Foerster, and Nilene Evans, Of Counsel at Morrison & Foerster, will discuss the FINRA process for particular offerings, and special FINRA considerations applicable to offerings of certain securities. The speakers intend to address the following:

  • Which offerings must be reviewed by FINRA;
  • Compensation review;
  • Shelf filings;
  • Same-day review;
  • Conflicts of interest and qualified independent underwriters;
  • FINRA and private placements (5123);
  • FINRA and research analyst issues; and
  • FINRA and Reg M.


  • Anna Pinedo, Partner, Morrison & Foerster LLP
  • Nilene Evans, Of Counsel, Morrison & Foerster LLP


West Legalworks fee for this webcast is $175.

West Legalworks will provide CLE.




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