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Private Placements and Other Financing Alternatives 2014
Chair(s):
Anna T. Pinedo
Practice Area:
Corporate & Securities
Published:
Mar 2014
ISBN:
9781402421891
PLI Item #:
50629
CHB Spine #:
B2079
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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Securities Act Rules, Compliance and Disclosure Interpretations, U.S. Securities and Exchange Commission (Jan. 3, 2014)
Chapter 2. The SEC’s Proposed Rule Changes Under the JOBS Act, JOBS Act Clientalert (Sept. 18, 2013)
Chapter 3. Dodd-Frank Update: SEC Adopts Bad Actor Disqualifications for Private Placements Under Regulation D (July 15, 2013)
Chapter 4. SEC Disqualifies “Bad Actors” from Participating in a Rule 506 Offering
Chapter 5. SEC Eliminates General Solicitation and General Advertising Prohibitions from Certain Private Placements
Chapter 6. SEC Proposes Changes to Regulation D
Chapter 7. SEC Relaxes Ban on Advertising and Solicitation for Private Placements to Accredited Investors, Corporate and Securities Lawalert (July 17, 2013)
Chapter 8. Disclosure Requirements and Advertising Rules for CPOs (September 20, 2013)
Chapter 9. FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements (August 5, 2013)
Chapter 10. FINRA Regulation of Private Placements (January 2, 2014)
Chapter 11. Jumpstart Our Business Startups Act Brings Significant Changes to Capital Formation, Disclosure and Registration Requirements
Chapter 12. Form 144, U.S. Securities and Exchange Commission
Chapter 13. Rule 144: Selling Restricted and Control Securities, U.S. Securities and Exchange Commission (Jan. 16, 2013)
Chapter 14. Restricted Securities vs. Control Securities: What Are the Differences? (December 2013)
Chapter 15. ABA Business Law Section Comment Letter on Proposed Amendments to Regulation D, Form D and Rule 156 Under the Securities Act (December 6, 2013)
Chapter 16. Integration of Private and Public Offerings: 2014 Update
Chapter 17. Private Offerings: Questions That Might Frequently Be Asked Sometime Soon (Part II) (October 2, 2013)
Chapter 18. Private Offerings: Questions That Might Frequently Be Asked Sometime Soon (July 23, 2013)
Chapter 19. Request for Comment on Proposed Funding Portal Rules and Related Forms, FINRA Regulatory Notice 13-34 (October 2013)
Chapter 20. SEC Proposes Regulations Implementing “Regulation Crowdfunding” Under Section 4(a)(6)of the Securities Act (October 2013)
Chapter 21. Rule 506/Section 4(a)(6)/Regulation A Comparison
Chapter 22. No Easy A: SEC Proposes Rules for Regulation A+, Clientalert (Dec. 20, 2013)
Chapter 23. FINRA: Funding Portals, Start Your Engines!, Clientalert (Oct. 25, 2013)
Chapter 24. SEC Proposes Crowdfunding Rules, Clientalert (Oct. 24, 2013)
Chapter 25. Proposed Reg A+ Summary and Comparison (January 2, 2014)
Chapter 26. Equity Crowdfunding Rules: 15 Things Every Entrepreneur Needs to Know Now (January 2, 2014)
Chapter 27. Regulation Crowdfunding Outline (December 5, 2013)
Chapter 28. A+ Indeed: The SEC’s Proposed Rules Amending Reg A (December 19, 2013)
Chapter 29. Standing Out from the Crowd: A Closer Look at the SEC’s and FINRA’s Proposed Crowdfunding Rules (November 15, 2013)
Chapter 30. Registered Direct Offerings and Confidentially Marketed Offerings (January 1, 2014)
Chapter 31. Resales of Restricted and ControlSecurities Under Rule 144 (Sept. 18, 2013)
Chapter 32. Frequently Asked Questions About PIPEs
Chapter 33. Frequently Asked Questions About Registered Direct Offerings
Chapter 34. A Boost Over the Wall (January 25, 2010)
Chapter 35. Over the Wall and Through the Woods: A Look at Wall-Crossed Deals (June 30, 2009)
Chapter 36. Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings, a Small Entity Compliance Guide, U.S. Securities and Exchange Commission (Sept. 20, 2013)
Chapter 37. Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings, Final Rules, 17 CFR Parts 203, 239 and 242, U.S. Securities and Exchange Commission (July 10, 2013)
Chapter 38. Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Trace Fees for Securities Act Rule 144A Transaction Data, Release No. 34-70691
Chapter 39. Frequently Asked Questions About Rule 144A
Chapter 40. Rule 144A
Chapter 41. PIPEs Enforcement Actions (January 2014)
Chapter 42. Registered Direct Offerings & Confidential Marketing Through Wall-Crossing (PowerPoint Slides)
Chapter 43. Rule 144A Offerings (PowerPoint Slides)
Index
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