Understanding the Securities Laws Fall 2015

PLI Seminar

12/17/2015 - 12/18/2015

Capital Markets, Banking + Financial Services, Financial Institutions + Financial Services, and Investment Management

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

Anna T. Pinedo

Speaking Engagement

Trevor Starer
(212) 336-4310

This conference 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, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, the JOBS Act and related SEC regulations, and on how securities lawyers can solve practical problems that arise under them in the context of public and private offerings, SEC reporting, mergers and acquisitions and other common corporate transactions.

Morrison & Foerster Partner Anna T. Pinedo will speak on the “Securities Act Exemptions/Private Placements” panel on Day One of the conference.

Topics Will Include:

  • Exempt securities versus exempt transactions;
  • Regulation D and Regulation A offerings and changes resulting from the JOBS Act;
  • “Crowd funding”;
  • Stock option grants and related issues;
  • Rule 144A high yield and other offerings; and,
  • Regulation S offerings to "non-U.S. persons".


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