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Private Placements and Other Financing Alternatives 2012
Anna T. Pinedo
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Exempt Offerings of Securities Under Regulation D
Chapter 2. Rule 701 Outline
Chapter 3. Dodd-Frank Update: SEC Proposes Bad Actor Disqualifications for Private Placements Under Regulation D
Chapter 4. The Private Placement Alternative to a Public Offering
Chapter 5. Frequently Asked Questions About Regulation FD
Chapter 6. Business As Unusual
Chapter 7. Integration of Private and Public Offerings Update
Chapter 8. Letter from Darrell E. Issa, Chairman, Committee on Oversight and Government Reform, U.S. Congress, to Mary L. Schapiro, Chairman, U.S. Securities and Exchange Commission, Dated March 22, 2011
Chapter 9. Letter from Mary L. Schapiro, Chairman, U.S. Securities and Exchange Commission, to Darrell E. Issa, Chairman, Committee on Oversight and Government Reform, U.S. Congress, Dated April 6, 2011
Chapter 10. Rebuilding the IPO On-Ramp: Putting Emerging Companies and the Job Market Back on the Road to Growth, Issued by the IPO Task Force, Presented to the U.S. Department of the Treasury, Dated October 20, 2011
Chapter 11. Spurring Job Growth Through Capital Formation While Protecting Investors: Statement of Professor John C. Coffee, Jr., Adolf A. Berle Prof. of Law, Columbia Univ. Law School, at Hearings Before the Sen. Committee on Banking, Housing and Urban Affairs
Chapter 12. Spurring Job Growth Through Capital Formation While Protecting Investors: Testimony by Meredith B. Cross, Dir., Division of Corporation Finance, U.S. SEC, and Lona Nallengara, Deputy Director, Division of Corporation Finance, U.S. SEC
Chapter 13. Examining Investor Risks in Capital Raising: Testimony of Prof. John C. Coates IV, John F. Cogan, Jr. Prof. of Law and Economics, Harvard Law School, Before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing
Chapter 14. Letter to Mary L. Schapiro, Chairman, U.S. SEC, from Stephen M. Graham and M. Christine Jacobs, Advisory Committee on Small and Emerging Companies Co-Chairs, Attaching Recommendation Regarding Relaxing or Modifying Restrictions . . .
Chapter 15. Memo from Gerald Laporte, Chief, Office of Small Business Policy, Division of Corporation Finance, U.S. SEC, to Advisory Committee on Small and Emerging Companies Members, Attaching Draft Recommendations Regarding Registration. . .
Chapter 16. Small Company Capital Formation Act of 2011; Regulation A Revival?
Chapter 17. U.S. Capital Raising in the Spotlight
Chapter 18. House Financial Services Committee Approves the Small Company Capital Formation Act; Regulation A Revival Closer?
Chapter 19. Legislative Proposals to Facilitate Small Business Capital Formation
Chapter 20. Reg A A-Okay--House Approves the Small Company Capital Formation Act
Chapter 21. Legislative Proposals to Facilitate Capital Formation Advance
Chapter 22. IPO "On-Ramp"
Chapter 23. Exempt & Small Issuer Measures Introduced in the 112th Congress
Chapter 24. Hearing on Legislative Proposals to Promote Job Creation, Capital Formation and Market Certainty: Statement of David Weild, Sen. Advisor--Grant Thornton LLP, Before the U.S. House of Rep., Fin. Services Committee Capital Markets and Government . . .
Chapter 25. Private Placements Regulatory Developments
Chapter 26. Legislative Action on Exchange Act Registration Thresholds
Chapter 27. Frequently Asked Questions About PIPEs
Chapter 28. Frequently Asked Questions About Registered Direct Offerings
Chapter 29. A Boost Over the Wall
Chapter 30. SEC Proposes to Relax Restrictions on "Wall-Crossed" WKSI Offerings
Chapter 31. Scaling the Walls
Chapter 32. Over the Wall and Through the Woods: A Look at Wall-Crossed Deals
Chapter 33. Rule 144A Overview
Chapter 34. Zacharias and Section 5 Liability, Current Issues in Exchange Offers, and Concurrent Public and Private Offerings
Chapter 35. FINRA Private Placement Developments
Chapter 36. FINRA Files Amendments to FINRA Rule 5123 on Private Placements
Chapter 37. The Evolution of a Rule: FINRA Proposes Rule 5123 in Lieu of Proposed Rule 5122
Chapter 38. FINRA to Repropose Rule Addressing Participation of Broker-Dealers in Private Placements
Chapter 39. FINRA Proposes Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Chapter 40. PIPEs Enforcement Actions
Chapter 41. Recent Developments Affecting Private Placements (PowerPoint)
Chapter 42. Overview of the Application of the NASDAQ Shareholder Approval Rules to Equity Offerings (PowerPoint)
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