Key Issues for Non-Accelerated Filers and Smaller Public Companies


Corporate, Financial Institutions + Financial Services, and Securities Enforcement

San Diego, CA

Steve Rowles

Steve Rowles


Come hear best practices, lessons learned and case studies on:

  • Raising Capital - Spotlight on PIPEs
  • Compliance Issues for the Non-Accelerated Filer

Topics will include:

  • Current structures and trends in PIPE financings
  • Accounting traps for the unwary PIPE issuer
  • The influence of hedge funds
  • Shifts in institutional investor interest
  • Securities Act Reform
  • Section 404 readiness and compliance
  • Dealing with restatements
  • Stock option expensing disclosure – analysis of the first
    round of disclosures
  • Preparing for the executive compensation disclosure regime

Who Should Attend: CEOs, Presidents, CFOs, Directors, Board Members,
Controllers, Treasurers, Internal Audit Managers

This invitation is transferable and open to colleagues and guests. There is no charge to attend this seminar. Morrison & Foerster LLP (provider # 2183) certifies that this activity has been approved for MCLE credit by the State Bar of California in the amount of 1.5 hours. Mayer Hoffman McCann P.C. certifies that program attendees can earn up to 1.5 hours of CPE credit.

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