transcript   Transcript

Securities Act Exemptions

Recorded on: Jul. 18, 2017
Running Time: 01:14:58

Full Transcript:

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Taken from the Web Program Understanding the Securities Laws 2017 recorded July, 2017 in New York.

Securities Act Exemptions [01:14:58]
  • 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)

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

  • Ze’-ev D. Eiger, et al., Morrison & Foerster LLP, Practice Pointers on: Navigating the Securities Act’s Prohibition on General Solicitation and General Advertising
    Anna T. Pinedo
  • Morrison & Foerster LLP, JOBS Act Quick Start 2016 Update, Chapter 4, Private Offerings
    Anna T. Pinedo
  • Morrison & Foerster LLP, JOBS Act Quick Start 2016 Update, Chapter 6, Regulation A+
    Anna T. Pinedo
  • Ze’-ev D. Eiger, David M. Lynn and Elizabeth C. Schauber, Morrison & Foerster LLP, Client Alert, SEC Adopts Final Rules Regarding Intrastate and Regional Offerings (October 27, 2016)
    Anna T. Pinedo
  • Marty Dunn, et al., Morrison & Foerster LLP, Client Alert, Regulation A+: Final Rules Offer Important Capital Raising Alternatives (March 26, 2015)
    Anna T. Pinedo
  • Morrison & Foerster LLP, Investor Criteria for U.S. Private Placements and Other Offerings, Summary Tables and Comparisons
    Anna T. Pinedo
  • Morrison & Foerster LLP, Summary Chart of Exempt Offering Alternatives
    Anna T. Pinedo
  • Securities Act Exemptions (Prepared as of May 11, 2017)
    Kevin E. Slaughter

Presentation Material

  • Securities Act Exemptions
    Anna T. Pinedo
Anna T Pinedo ~ Morrison & Foerster LLP
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