Understanding the Securities Laws Summer 2014

PLI Seminar

07/24/2014 - 07/25/2014

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

PLI New York Center
1177 Avenue of the Americas
New York, NY 10036

Speaking Engagement

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Harrison Lawrence
(212) 336-4004

Whether you are new to the field or seeking a quick refresher or an update, this is a securities law primer that you won’t want to miss. 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, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act, the Dodd-Frank Act, the Volcker Rule, 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.

Partner Anna Pinedo will speak on derivatives, structured notes and other alternatives to traditional securities offerings.  Discussion will focus on:

  • Derivatives transactions related to securities, including new reporting and clearing obligations
  • Structured notes and medium-term note programs
  • Spin-offs, carve outs and reverse mergers to go public
  • PIPES – private investments in public equity
  • Registered direct offerings and block trades
  • DRIPs – dividend reinvestment plans
  • Registration rights agreements

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