Speaking Engagement

Understanding the Securities Laws Summer 2015

Practising Law Institute

July 23-24, 2015

PLI New York Center
1177 Avenue of the Americas
New York, NY 10036
Harrison Lawrence
(212) 336-4004

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, 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 and Stuart Fishman of JPMorgan Chase & Co. will lead a session entitled “Securities Act Exemptions/Private Placements”.

Topics of discussion 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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