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Private Placements and Hybrid Securities Offerings 2016
Anna T. Pinedo
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Weeding Out Bad Actors: The Rule 506 Bad Actor Provisions and Capital Markets Practice—One Year Later (September 17, 2014)
Chapter 2. Private Placements—An Overview
Chapter 3. SEC Guidance on General Solicitation Provides New Opportunities (October 26, 2015)
Chapter 4. Alternatives to Registration Chart (May 1, 2015)
Chapter 5. Following the Wisdom of the Crowd?: A Look at the SEC’s Final Crowdfunding Rules (November 2, 2015)
Chapter 6. Investor Criteria for U.S. Private Placements and Other Offerings: Summary Tables and Comparisons
Chapter 7. Reaching the Crowd—Unregistered Offerings that Permit General Solicitation: Rule 506(c), Regulation A, and Section 4(a)(6)
Chapter 8. SEC Proposes Rule Changes to Pave the Way for Intrastate and Regional Offerings (November 5, 2015)
Chapter 9. Summary Chart of Exempt Offering Alternatives
Chapter 10. Integration of Private and Public Offerings 2015 (October 26, 2015)
Chapter 11. Frequently Asked Questions About Rule 144 and Rule 145
Chapter 12. Resales of Restricted and Control Securities
Chapter 13. Nasdaq Private Market FAQs: What Is The Raise Act And How Does It Operate? (January 6, 2016)
Chapter 14. Section 4(a)(7)—the RAISE Act: Will Issuers be Willing to Provide Disclosure?
Chapter 15. A New Exemption for Resale of Restricted Securities under the U.S. Securities Act of 1933
Chapter 16. FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements (August 5, 2013)
Chapter 17. Regulatory Notice 10-22: Regulation D Offerings—Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings (April 2010)
Chapter 18. FINRA Regulation of Broker/Dealer Participation in Sales of Private Placements (July 2016)
Chapter 19. Regulation A+: Final Rules Offer Important Capital Raising Alternatives (March 26, 2015)
Chapter 20. Will Regulation A+ Find Its Niche?: Some Opportunities to Explore
Chapter 21. Frequently Asked Questions About PIPEs
Chapter 22. Frequently Asked Questions About Registered Direct Offerings
Chapter 23. Frequently Asked Questions About Rule 144A
All Contents Copyright © 1996-2019 Practising Law Institute.
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