| Private Placements and Other Financing Alternatives 2012 TOC |
|
|
| Chapter 1: Exempt Offerings of Securities Under Regulation D |
David B. H. Martin ~ Covington & Burling LLP
|
|
| Chapter 2: Rule 701 Outline |
Carol M. McGee ~ Assistant Director, Division of Trading and Markets, US Securities and Exchange Commission
|
|
| Chapter 3: Dodd-Frank Update: SEC Proposes Bad Actor Disqualifications for Private Placements Under Regulation D |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 4: The Private Placement Alternative to a Public Offering |
Abigail Arms ~ Shearman & Sterling LLP
|
|
| Chapter 5: Frequently Asked Questions About Regulation FD |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 6: Business As Unusual |
Catherine T. Dixon ~ Weil, Gotshal & Manges LLP
|
|
| Chapter 7: Integration of Private and Public Offerings Update |
Stanley Keller ~ Edwards Wildman Palmer LLP
|
|
| 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 |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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 |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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 |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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 |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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 |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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 |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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 . . . |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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. . . |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 16: Small Company Capital Formation Act of 2011; Regulation A Revival? |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 17: U.S. Capital Raising in the Spotlight |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 18: House Financial Services Committee Approves the Small Company Capital Formation Act; Regulation A Revival Closer? |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 19: Legislative Proposals to Facilitate Small Business Capital Formation |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 20: Reg A A-Okay--House Approves the Small Company Capital Formation Act |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 21: Legislative Proposals to Facilitate Capital Formation Advance |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 22: IPO "On-Ramp" |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 23: Exempt & Small Issuer Measures Introduced in the 112th Congress |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| 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 . . . |
David Weild IV ~ Founder & Chairman, Weild & Co.
|
|
| Chapter 25: Private Placements Regulatory Developments |
David M. Lynn ~ Morrison & Foerster LLP
|
|
| Chapter 26: Legislative Action on Exchange Act Registration Thresholds |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 27: Frequently Asked Questions About PIPEs |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 28: Frequently Asked Questions About Registered Direct Offerings |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 29: A Boost Over the Wall |
Anna T. Pinedo ~ Morrison & Foerster LLP
David M. Lynn ~ Morrison & Foerster LLP
|
|
| Chapter 30: SEC Proposes to Relax Restrictions on "Wall-Crossed" WKSI Offerings |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 31: Scaling the Walls |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 32: Over the Wall and Through the Woods: A Look at Wall-Crossed Deals |
James R. Tanenbaum ~ Partner, Morrison & Foerster LLP
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 33: Rule 144A Overview |
Taisa Markus ~ Paul Hastings LLP
N. Adele Hogan ~ Hogan Law Associates PLLC
|
|
| Chapter 34: Zacharias and Section 5 Liability, Current Issues in Exchange Offers, and Concurrent Public and Private Offerings |
Alexander F. Cohen ~ Latham & Watkins LLP
|
|
| Chapter 35: FINRA Private Placement Developments |
Dana G. Fleischman ~ Latham & Watkins LLP
|
|
| Chapter 36: FINRA Files Amendments to FINRA Rule 5123 on Private Placements |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 37: The Evolution of a Rule: FINRA Proposes Rule 5123 in Lieu of Proposed Rule 5122 |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 38: FINRA to Repropose Rule Addressing Participation of Broker-Dealers in Private Placements |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 39: FINRA Proposes Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements |
Anna T. Pinedo ~ Morrison & Foerster LLP
|
|
| Chapter 40: PIPEs Enforcement Actions |
James T. Rothwell ~ Davis Polk & Wardwell LLP
|
|
| Chapter 41: Recent Developments Affecting Private Placements (PowerPoint Slides) |
David Weild IV ~ Founder & Chairman, Weild & Co.
|
|
| Chapter 42: Overview of the Application of the NASDAQ Shareholder Approval Rules to Equity Offerings (PowerPoint Slides) |
David A. Donohoe, Jr. ~ Donohoe Advisory Associates LLC
|
|
| Chapter 43: Index to Private Placements and Other Financing Alternatives 2012 |
|
|