PLI Webcast: Bad Actor Proposals and Private Placement Reform

07/06/2011 01:00 p.m. - 02:00 p.m. EDT

Banking + Financial Services, Capital Markets, Private Placements + PIPEs, Public Companies Counseling + Compliance, and Financial Institutions + Financial Services

Anna T. Pinedo

Anna T. Pinedo

Webinar

cadams@mofo.com
(212) 336-4024

On May 25, 2011, the Securities and Exchange Commission proposed amendments to rules promulgated under Regulation D to implement Section 926 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Section 926 of the Dodd-Frank Act, entitled “Disqualifying felons and other ‘bad actors’ from Regulation D offerings,” requires the SEC to adopt rules to disqualify certain securities offerings from reliance on the private placement safe harbor provided by Rule 506 of Regulation D.

Topics Include:

  • The Regulation D safe harbor and existing bad actor provisions in the securities laws
  • The proposed amendments
  • The complexities that the bad actor rules may introduce for companies and intermediaries that want to rely on Regulation D
  • Open questions relating to the bad actor rules
  • Other recent changes affecting private placements, including changes to the “accredited investor” definition, FINRA’s focus on Reg D offerings, and proposed changes to Regulation A

Speaker:

  • Anna Pinedo, Partner, Morrison & Foerster LLP

PLI will provide 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.