in
Advanced Search
transcript   Transcript

A. Overview of Regulation D, Rule 701 and SEC Update; B. Resales: Rule 144, Tacking, Holding Period Issues and 4 (1-1/2)

Recorded on: May. 3, 2011
Running Time: 01:07:14

Full Transcript:


Transcripts of selected programs may be accessed by Privileged Members. If you are a member, please log in. If you are not a member, please consider having your firm join. Or become an Individual Member.

To access the streaming media of this presentation, please purchase the corresponding seminar segment.

Taken from the Web Program Private Placements and Other Financing Alternatives 2011 recorded April, 2011 in New York.

Lecture Topics  [01:07:14]

A. Overview of Regulation D, Rule 701 and SEC Update; B. Resales: Rule 144, Tacking, Holding Period Issues and 4 (1-1/2)  [01:07:14]

A. Overview of Regulation D, Rule 701 and SEC Update

  • Section 4(2) and Regulation D Basics 
  • Electronic Form D Filing
  • Recent Regulation D and Rule 701 Interpretations
  • Compliance and Disclosure Interpretations
  • Use of Finders
  • Conducting Private Offerings Outside of the Safe Harbors
  • Blue Sky Issues
  • Current SEC Developments

B. Resales: Rule 144, Tacking, Holding Period Issues and 4 (1-1/2)

  • Resales of Restricted Securities
  • Rule 144 and Satisfying Rule 144 Conditions
  • Determining the Holding Period
  • Common Tacking Issues under Rule 144
  • Shell Company Status
  • Recent SEC Guidance
  • 4 (1-1/2)
  • Resale PIPEs, Block Sales
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Exempt Offerings of Securities Under Regulation D
    David B. H. Martin
  • News Bulletin: FINRA Issues Regulatory Notice Reminding Broker-Dealers of Their Obligation to Conduct Reasonable Investigations in Regulation D Offerings
    Anna T. Pinedo
  • SEC Guidance on Rule 144 Regarding the Sale of Restricted and Control Securities - Applications, Conditions, and Frequently Asked Questions
    N. Adele Hogan
  • SEC C&DI Securities Act Sections (Private Placements)--8/11/10
    N. Adele Hogan
  • SEC Staff Legal Bulletin No. 4--9/16/97
    N. Adele Hogan
  • SEC Staff Legal Bulletin No. 3A (CF)--6/18/08
    N. Adele Hogan
  • SEC C&DI Exchange Act Rules--2/11/11
    N. Adele Hogan
  • SEC C&DI Securities Act Sections--8/11/10
    N. Adele Hogan
  • Rule 144 (PowerPoint Slides)
    Anna T. Pinedo
Print Share Email
Transcript FAQ's
  • How Can I Access Transcripts?
    You must be a Member in good standing.
  • Can I access the Video?
    Yes, you can access the video if you have the Adobe Flash plugin installed. Click on the video camera icon when you mouse over each paragraph. The media will begin playback at that point.
  • Can I get CLE credit?
    Yes, you can get CLE credit by watching the full web segment and your time will be tracked in six minute intervals (like any other PLI Web Segment). Please note: CLE credit will not be granted for only reading the transcript.
  • FOLLOW PLI:
  • RSS
  • facebook
  • twitter

All Contents Copyright © 1996-2013 Practising Law Institute. Continuing Legal Education since 1933.