FINRA - Essentials for Deal Lawyers

PLI Webcast

01/07/2014 01:00 p.m. - 02:00 p.m. EST

Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation

Anna T. Pinedo

Anna T. Pinedo

Webinar

Alexa Powers
alexapowers@mofo.com
(212) 336-4312

For presentation materials, click here.

This One-Hour Briefing will provide a review of the FINRA rules applicable to public offerings, including FINRA’s new review process. We will discuss the compensation review process, conflicts of interest and QIUs, direct participation programs, and Regulation M notice requirements.

Topics of discussion include:

  • Address FINRA’s renewed focus on private placements, including Rule 5123 and various enforcement actions;
  • Provide an overview of the rules relating to research on emerging growth companies; and
  • Discuss FINRA’s proposed debt research rules.

PLI will offer CLE credit.

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2017 Morrison & Foerster LLP. All rights reserved.