transcript   Transcript

Securities Act Exemptions

Recorded on: Jul. 23, 2018
Running Time: 01:15:21

Full Transcript:



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Taken from the Web Program Understanding the Securities Laws 2018 Recorded July 2018 in New York

Securities Act Exemptions [01:15:21]
  • Exempt securities versus exempt transactions
  • Private placements, including  offerings under Rules 504 and 506 of Regulation D
  • Regulation A+ offerings
  • “Intrastate” offerings, including new Rule 147A
  • Crowdfunding
  • Employee equity awards
  • Rule 144A offerings     
  • Regulation S offerings to “non-U.S. persons”
  • Resales of restricted and controlled securities:  Rule 144, Section 4(a)(7) and 4(a)(1½)

Anna T. Pinedo

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

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  • Anna T. Pinedo and James R. Tanenbaum, Ch. 2: Private Placements—An Overview, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition)
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  • Anna T. Pinedo and James R. Tanenbaum, Ch. 3: Rule 506 Offerings, Practising Law Institute, Exempt and Hybrid Securities Offerings (3rd Edition)
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  • Anna T. Pinedo and James R. Tanenbaum, Securities Offerings and Communications: Is the Integration Bogeyman Dead?
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Presentation Material
  • Securities Act Exemptions
    Anna T. Pinedo
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    Anna T. Pinedo ~ Mayer Brown LLP
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