transcript   Transcript

Private Offerings and Public Offerings by Smaller Reporting Companies

Recorded on: Nov. 13, 2017
Running Time: 01:03:38

Full Transcript:



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Taken from the Web Program 49th Annual Institute on Securities Regulation recorded November 2017

Private Offerings and Public Offerings by Smaller Reporting Companies [01:03:38]

  • General solicitation and private offerings under Rule 506
  • Integration of private to private and private to public offerings – what will it take to fix the uncertainty?
  • Regulation A and Crowdfunding – are they working and where do they work the best?
  • Public capital raising by smaller reporting companies – what’s on the reform agenda?

Moderator: Gordon K. Davidson
Speakers: Sebastian Gomez Abero, Sara Hanks, Anna T. Pinedo, Gregory C.Yadley

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

  • Stanley Keller, SEC Opinion Raises Question About 2007 General Solicitation Guidance
    Gordon K. Davidson
  • KCD Financial Inc., Exchange Act Release No. 80340, Admin. Proc. File No. 3-17512 (Mar. 29, 2017) (sustaining disciplinary action taken by FINRA)
    Gordon K. Davidson
  • Revisions of Limited Offering Exemptions in Regulation D, 17 CFR Parts 200, 230 and 239 (Proposed rules; Request for additional comments, August 3, 2007)
    Gordon K. Davidson
  • CrowdCheck, Inc., Communications and Publicity by Crowdfunding Portals (November 2016)
    Sara Hanks
  • CrowdCheck, Inc., Concurrent Online Offerings
    Sara Hanks
  • Anna T. Pinedo and James R. Tanenbaum, Morrison & Foerster LLP, Securities Offerings and Communications: Is the Integration Bogeyman Dead?, The Current: The Journal of PLI Press, Vol. 1, No. 1 (Summer 2017)
    Anna T. Pinedo
  • Anna T. Pinedo and James R. Tanenbaum, Morrison & Foerster LLP, The Securities Law Crystal Ball (January 2017)
    Anna T. Pinedo
  • ShareVault and Morrison & Foerster, Understanding Recent Regulation A+ Changes (March 2017)
    Anna T. Pinedo
  • Ze’-ev D. Eiger and Anna T. Pinedo, Morrison & Foerster LLP, Practice Pointers on: Navigating the Securities Act’s Prohibition on General Solicitation and General Advertising
    Anna T. Pinedo
  • Morrison & Foerster LLP, Client Alert, Following the Wisdom of the Crowd?, A Look at the SEC’s Final Crowdfunding Rules (November 2, 2015)
    Anna T. Pinedo
  • Morrison & Foerster LLP, Summary Chart of Exempt Offering Alternatives
    Anna T. Pinedo
  • Ze’-ev D. Eiger and Elizabeth C. Schauber, Morrison & Foerster LLP, Client Alert, SEC Adopts Final Rules Regarding Intrastate and Regional Offerings (October 27, 2016)
    Anna T. Pinedo
  • Ze’-ev D. Eiger, Morrison & Foerster LLP, Practice Pointers on Matchmaking Basics: How it Works, Current Regulations and Key Considerations
    Anna T. Pinedo
  • Finders: A Boulder on the Path to Capital Formation for Small Businesses
    Gregory C. Yadley
  • Accredited Investors = Capital for Small Businesses
    Gregory C. Yadley
  • Capital for Small Businesses in Intrastate Offerings
    Gregory C. Yadley
Presentation Material
  • Private Offerings and Public Offerings by Smaller Reporting Companies
    Sebastian Gomez Abero, Gordon K. Davidson, Sara Hanks, Anna T. Pinedo, Gregory C. Yadley
    (s)
    Sebastian Gomez Abero ~ Deputy Chief Counsel, Office of Chief Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
    Gordon K Davidson ~ Fenwick & West LLP
    Sara Hanks ~ Co-Founder and Chief Executive Officer, CrowdCheck,Inc.
    Anna T Pinedo ~ Morrison & Foerster LLP
    Gregory C Yadley ~ Shumaker Loop & Kendrick, LLP
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