FacultyFaculty/Author Profile
James R. Tanenbaum

James R. Tanenbaum

Morrison & Foerster LLP

New York, NY, USA


James Tanenbaum serves as chair of the firm's Global Capital Markets practice. Mr. Tanenbaum has concentrated his practice on corporate finance and the structuring of complex domestic and international capital markets transactions. He represents issuers, including some of the nation's largest financial institutions, underwriters, agents, and other financial intermediaries, in public and private offerings of securities as well as issuers, investment banks, and purchasers in hybrid, mortgage-related, and derivative securities transactions. He has developed some of the most widely used hybrid techniques for the placement and distribution of securities.

Mr. Tanenbaum works closely with leading investment banks to formulate new methodologies for securities offerings and to structure innovative financial products. He has also represented many technology-based companies, including biotech and medical device companies.

Mr. Tanenbaum is a frequent lecturer on capital markets topics, and has lectured at the Securities and Exchange Commission, SIFMA and at a variety of securities industry groups. He lectures at law schools in the United States and abroad. He is the co-author of Covered Bonds Handbook, published by Practising Law Institute (2010, updated 2012-2014), co-author of the treatise Exempt and Hybrid Securities Offerings, published by Practising Law Institute (2009, second ed. 2011) and also co-author of BNA Tax and Accounting Portfolio, SEC Reporting Issues for Foreign Private Issuers (BNA Accounting Policy and Practice Series, 2009, second ed. 2012, updated 2016). Additionally, Mr. Tanenbaum co-authored "Regulation of Financial Institutions, Financial Crises and Rescue Packages in Europe: the Iceland Case," a chapter in Global Financial Crisis (Globe Law and Business, 2009) and "The Law: Legal and Regulatory Framework," a chapter in PIPEs: A Guide to Private Investments in Public Equity (Bloomberg, 2006).

Mr. Tanenbaum has been cited as a recommended lawyer for capital markets in the IFLR1000 Guide to Leading Lawyers, as one of America's leading lawyers for capital markets–debt and equity by Chambers USA and Chambers Global, as a recommended lawyer for capital markets–debt and equity transactions by The Legal 500 US, and as a recommended lawyer for capital markets–equity by PLC Which lawyer?.

Mr. Tanenbaum served as an Editor of the University of Pennsylvania Law Review during his time in law school. He served as Chairman of the Board of Trustees of Lehigh University and as National Chair of the Benjamin Franklin Society of the University of Pennsylvania.

Education

Lehigh University (B.A., 1971)

The Fletcher School of Law and Diplomacy (M.A., 1972) University of Pennsylvania Law School (J.D., 1975) Lehigh University (LLD Hon., 2013)

James R. Tanenbaum is associated with the following items:
Treatise  Treatise Covered Bonds Handbook
Exempt and Hybrid Securities Offerings (3rd Edition) - Exempt and Hybrid Securities Offerings
Treatise Chapters  Treatise Chapters Moody’s Investor Services—FDIC Concedes Market Value Cap to Gain Repudiation Rights Over U.S. Bank-Sponsored Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
The German Pfandbrief Act Translation - Covered Bonds Handbook, Thursday, August 12, 2010
Fitch Ratings—Assessment of Liquidity Risks in Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Fitch Ratings—Covered Bonds Rating Criteria - Covered Bonds Handbook, Thursday, August 12, 2010
Fitch Ratings—Impact of Covered Bonds Issuance on Banks Ratings - Covered Bonds Handbook, Thursday, August 12, 2010
Table of Authorities - Covered Bonds Handbook, Thursday, August 12, 2010
Selected Rating Agency Studies and Reports - Covered Bonds Handbook, Thursday, August 12, 2010
Covered Bond Indenture - Covered Bonds Handbook, Thursday, August 12, 2010
Preface - Covered Bonds Handbook, Thursday, August 12, 2010
History of Covered Bonds Outside the United States - Covered Bonds Handbook, Thursday, August 12, 2010
Covered Bond Case Study—Germany - Covered Bonds Handbook, Thursday, August 12, 2010
FSA—Application for Admission to the RCB Register - Covered Bonds Handbook, Thursday, August 12, 2010
FSA—Series Issuance Notification Form - Covered Bonds Handbook, Thursday, August 12, 2010
FSA—Annual Confirmation of Compliance with Regulated Covered Bonds Regulations, 2008 - Covered Bonds Handbook, Thursday, August 12, 2010
Mortgage Bond Indenture - Covered Bonds Handbook, Thursday, August 12, 2010
FDIC Policy Statements and Treasury Best Practices - Covered Bonds Handbook, Thursday, August 12, 2010
An Introduction to Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Service—U.S. Covered Bonds: Industry Gears Up to Propose Comprehensive Legislative Framework; Banks to Benefit - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Service—Rating Approach to Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Alternative Funding Sources - Covered Bonds Handbook, Thursday, August 12, 2010
Covered Bond Case Study—United Kingdom - Covered Bonds Handbook, Thursday, August 12, 2010
FDIC Final Policy Statement on Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
U.K. Reference Materials - Covered Bonds Handbook, Thursday, August 12, 2010
History and Development of Covered Bonds in the United States - Covered Bonds Handbook, Thursday, August 12, 2010
Covered Bond Ratings - Covered Bonds Handbook, Thursday, August 12, 2010
Sample U.S. Covered Bonds Documents - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Service—Limited Credit Impact from Proposed U.S. Covered Bond Legislation - Covered Bonds Handbook, Thursday, August 12, 2010
U.S. Covered Bond Case Study and Regulatory Framework - Covered Bonds Handbook, Thursday, August 12, 2010
Offering Memorandum - Covered Bonds Handbook, Thursday, August 12, 2010
FSA Letter to BBA—Covered Bond Issuance and Asset Encumbrance - Covered Bonds Handbook, Thursday, August 12, 2010
Table of Contents - Covered Bonds Handbook, Thursday, August 12, 2010
Index - Covered Bonds Handbook, Thursday, August 12, 2010
Regulated Covered Bonds Regulations 2008, As Amended - Covered Bonds Handbook, Thursday, August 12, 2010
FSA—Asset Pool Notification Form - Covered Bonds Handbook, Thursday, August 12, 2010
Non-U.S. Covered Bonds Market - Covered Bonds Handbook, Thursday, August 12, 2010
FDIC Interim Final Policy Statement on Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
The Department of the Treasury—Best Practices for Residential Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Covered Bond Case Study—Australia - Covered Bonds Handbook, Thursday, August 12, 2010
Documentation of U.S. Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Service—U.S. Covered Bonds Overhaul Would Be Credit Positive Overall - Covered Bonds Handbook, Thursday, August 12, 2010
Amended and Restated Declaration of Trust - Covered Bonds Handbook, Thursday, August 12, 2010
Standard & Poor’s—Revised Methodology and Assumptions for Assessing Asset-Liability Mismatch Risk in Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Covered Bond Case Study—Canada - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Service—FAQ U.S. Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Service—EMEA Covered Bonds: 2010 Outlook & 2009 Review - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Services—New U.S. Covered Bond Bill Is Positive But Falls Short on Addressing Market Value Risk - Covered Bonds Handbook, Thursday, August 12, 2010
Regulated Covered Bonds Sourcebook - Covered Bonds Handbook, Thursday, August 12, 2010
Fitch Ratings—ABCs of U.S. Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Asset Monitor Agreement - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Service—Legal Checklist for EU Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Standard & Poor’s—Report Clarifying Issuer Ratings for Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
Mortgage Bond Purchase Agreement - Covered Bonds Handbook, Thursday, August 12, 2010
Moody’s Investor Services—Structured Finance in Focus: A Short Guide to Covered Bonds - Covered Bonds Handbook, Thursday, August 12, 2010
The Securities Law Crystal Ball - Looking Ahead: The Impact of the 2016 Election on Key Legal Issues, Monday, January 30, 2017
Nasdaq Shareholder Approval Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Regulation S Adopting Release - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Issues Arising in Connection with Private Placements and Public Offerings Conducted in Close Proximity - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Section 4(a)(1) and Concept of 4(a)(1½) - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Table of Contents - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Nasdaq Voting Rights Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Adopting Release Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Registration Rights Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Liability Considerations - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Big Boy Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Indicative Timeline for Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Securities Offering Reform Summary - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Section 4(a)(3) and Section 4(a)(4) - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Appendices - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Accredited Investor Questionnaire - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Why an Exempt Offering or a Hybrid Offering? - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Summary Timeline of Exempt Offering Developments - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Adopting Release Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A) - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
SIFMA Rule 144 Procedures - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Cravath, Swaine & Moore, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Preface to Third Edition - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Big Boy Letters - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Reasonable Investigations in Regulation D Offerings - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Public Hybrid Transactions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Script for Registered Direct Transaction - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Timeline for At-The-Market Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Timetable for Private Placement with Resale Rights - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
FINRA Corporate Financing Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
SIFMA 3c-7 Procedures - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Brown & Wood, LLP, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 144 - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Staying Private - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
American Council of Life Insurance, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Qualified Institutional Buyer Questionnaire - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
NYSE MKT Voting Rights Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Common Stock Term Sheet - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Private Placements—An Overview - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Indenture - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Non-Affiliate Legend Removal Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Investment Representations/Hedging - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Timeline of Exempt Offering Rules - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Table of Authorities - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Regulation Crowdfunding Adopting Release - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Procedures Memorandum—Removal of 144 Restrictive Legends - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Touche, Remnant & Company, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Private Placements and Acquisitions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Confidentiality Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
FINRA and the Exchanges - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Sample Shorting Reps - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Continuous Private Placements and Other Unregistered Programs - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Lock-Up Agreement for Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Distribution Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Term Sheet—Convertible Preferred Stock - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Timetable for PIPE Transactions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Lamp Technologies, Inc., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
FINRA Conflicts of Interest Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Conducting Exempt Offerings Using the Internet - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Preface to First Edition - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Investor Purchase Agreement for Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Indicative Timeline for Block Trade - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
3c-7 Notice - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Shelf Registration Statements - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Opinion in Lieu of Representation Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Sales Script for Institutional Sales - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Shearman & Sterling, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 144A - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Venture Private Placements - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Net Roadshow, Inc., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Verticom, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Questions Arising in Connection with PIPE Transactions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Purchaser Representative Acknowledgment - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Confidential Private Placement Memorandum - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
AngelList, LLC, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
NYSE Voting Rights Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 155 Adopting Release - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Crowdfunding and Regional Offerings - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 506 Offerings - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Introduction - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Purchase Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Plan of Distribution for “All or None” Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Engagement Letter for Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Plan of Distribution - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Change of Control Transactions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Forms - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Exxon Capital, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Index - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Conducting Shelf Takedowns - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Sample Legend for Rule 903 - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Exemptions to Facilitate Intrastate and Regional Crowdfunding Adopting Release - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Exxon Capital Exchange Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Morgan Stanley and Co., Inc., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Private Placement Reform - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
NYSE MKT Shareholder Approval Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Procedures for Wall Crossing Investors - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Confidential Offering Memorandum - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Affiliate Seller’s 144 Representation Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Application of Regulation M to Exempt and Hybrid Offerings - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Standby Purchase Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Confidentiality Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Term Sheet—Convertible Debentures, Warrants, and Common Stock - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
IPONet, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Communications in Connection with Exempt and Hybrid Securities Offerings - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Placement Agency Agreement for “All or None” Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Plan of Distribution - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 701 - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Placement Agent Representation Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Engagement Letter for PIPE Transaction - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Lamp Technologies, Inc., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Structured PIPE Transactions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Bloomberg L.P., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
NYSE Shareholder Approval Rule - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 144A Adopting Release - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Conditional Small Issues Exemption: Regulation A - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Preface to Second Edition - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Plan of Distribution for “Any or All” Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Engagement Letter for Registered Direct Offering - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Squadron, Ellenoff, Pleasant & Lehrer, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Conducting Rule 144A and Regulation S Offerings - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 904 Sale Under Reg S Selling Shareholder Certificate - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Securities Offering Reform - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Blanket Removal Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Non-Affiliate Seller’s 144 Representation Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Sales Script for Contacting Current Holders - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Resale Registration Statement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
CommScan, LLC, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Regulation S - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Traditional PIPE Transactions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Net Roadshow, Inc., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Rule 144 Adopting Release - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Black Box, SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Conducting Institutional “4(a)(2)” Private Debt Placements - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Securities Purchase Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Transfer Agent Instructions - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Interpretive Release on Regulation D - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Closing Checklist - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Citizen VC, Inc., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
Purchase Agreement - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
FundersClub Inc., SEC No-Action Letter - Exempt and Hybrid Securities Offerings (3rd Edition), Friday, September 22, 2017
CHB Chapters  CHB Chapters Private Placements—An Overview - Marketplace Lending and Crowdfunding 2016 , Monday, September 12, 2016
Private Placements—An Overview - Private Placement and Hybrid Securities Offerings 2017, Monday, May 22, 2017
Frequently Asked Questions About Registered Direct Offerings - Private Placement and Hybrid Securities Offerings 2017, Monday, May 22, 2017
Frequently Asked Questions About PIPES - Private Placement and Hybrid Securities Offerings 2017, Monday, May 22, 2017
Journal Chapter  Journal Chapter Securities Offerings and Communications: Is the Integration Bogeyman Dead? - The Current: The Journal of PLI Press, Vol. 1, No. 1 (Summer 2017), Monday, July 10, 2017
MP3 Audio  MP3 Audio Planning for Financings in Volatile Markets, Tuesday, October 03, 2017
Audio Only On-Demand Web  Audio Only On-Demand Web Planning for Financings in Volatile Markets - Planning for Financings in Volatile Markets, Wednesday, October 04, 2017
Transcripts  Transcripts Planning for Financings in Volatile Markets - Planning for Financings in Volatile Markets, Wednesday, October 04, 2017
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