04/26/2011 08:30 a.m. - 05:00 a.m.
Capital Markets, Private Placements + PIPEs, and Financial Institutions + Financial Services
PLI New York Center 810 Seventh Avenue New York, NY 10019
Anna T. Pinedo
PLI faculty of leading practitioners and regulators will analyze current developments in private placements and hybrid financing transactions, including Private Investments in Public Equity (PIPEs), registered direct offerings, wall-crossed offerings, change-of-control transactions and 144A offerings. They will discuss the basics of private placements and other exempt offerings, as well as recent regulatory reform related and SEC developments involving exempt offerings. They will discuss recent changes to Regulation D effected by the Dodd-Frank Act. You will learn about Rule 701, Rule 144 and tacking issues, Section 4 (1 ½) transactions, block trades, and financings in close proximity to one another. They also will address Regulation FD and other disclosure and communications issues arising in connection with undisclosed offerings. You will learn about regulatory and litigation developments involving private offerings.
PLI will provide CLE credit.
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