transcript   Transcript

Other Securities Exemptions

Recorded on: May. 23, 2018
Running Time: 00:31:36

Full Transcript:

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Taken from the Web Program Private Placement and Hybrid Securities Offerings 2018 Recorded May, 2018 in New York [00:31:36]
  • Rule 701
  • C&DIs relating to Rule 701 and Proposed Changes to Rule 701 
  • Section 3(a)(11) and Intrastate Exemptions:  Rule 147 and 147A
  • Rule 504
  • Market developments
  • Do we have too many exempt offering alternatives?

Julie Z. Davis, Stanley Keller, Lona Nallengara

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Small Issuer Capital Raising Decision Matrix (March 1, 2018)
    Stanley Keller
  • Alternatives to Registration Chart (January 1, 2017)
    Stanley Keller
  • Rule 701
    James R. Tanenbaum, Anna T. Pinedo
Presentation Material
  • Other Securities Offering Exemptions Rule 701
    Julie Z. Davis, Stanley Keller, Lona Nallengara
    • (s)
      Julie Z. Davis ~ Senior Special Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
      Stanley Keller ~ Locke Lord LLP
      Lona Nallengara ~ Shearman & Sterling LLP
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