Understanding the Securities Laws Fall 2014

PLI Seminar

12/11/2014 09:00 a.m. - 06:00 p.m.

Banking + Financial Services, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, and Investment Management

PLI New York Center
1177 Avenue of the Americas (2nd floor)
New York, NY 10036

Speaking Engagement

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Harrison Lawrence
(212) 336-4004

Join Morrison & Foerster for PLI’s “Understanding the Securities Laws Fall 2014” seminar. This program will provide an overview and discussion of the basic aspects of the U.S. federal securities laws by leading in-house and law firm practitioners and key SEC representatives. Emphasis will be placed on the interplay among the Securities Act of 1933 and the Securities Exchange Act of 1934 and related SEC regulations, how those laws were affected by the Sarbanes-Oxley Act, the Dodd-Frank Act and the controversial Jumpstart Our Business Startups (“JOBS”) Act, which created the concept of “emerging growth companies.” Panelists will provide practical guidance on how securities lawyers can address issues that arise under those laws in the contexts of public and private offerings, SEC reporting, mergers and acquisitions, and other corporate transactions.

Partner Anna Pinedo will be leading a presentation entitled “Securities Act Exemptions/Private Placements.” Topics of discussion will include:

  • Exempt securities versus exempt transactions;
  • Regulation D offerings and recent changes;
  • The new “crowdfunding” exemption rules;
  • Intrastate offerings;
  • The new Regulation “A+” exemption rules;
  • Rule 144A high yield and other offerings;
  • Regulation S offerings to “non-U.S. persons”; and
  • Exempt offerings in the new era that allows general advertising.

PLI will provide CLE credits.

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