November 5, 2024
8:30 a.m. – 9:30 a.m. EDT
Mayer Brown LLP 14th Floor, 1221 Avenue of the Americas, New York, NY 10020
Join us for this in-person CLE on November 5, 2024.
There are a number of FINRA rules to take into account from the perspective of a placement agent or underwriter when undertaking a private placement or a public offering. During our session, we will focus on recent developments, new guidance and FAQs, and enforcement actions relating to the following:
- Rule 5123 and private placements;
- Rule 2210 relating to advertising, when considered in the context of private placements and public offerings;
- Rule 5120 on conflicts of interest, including disclosure requirements and when a QIU is required;
- Rule 5110 and underwriting compensation; and
- Rule 5141 and fixed price offerings.
This is an in-person presentation, with CLE credit, intended to encourage discussion. There will be no recording, and no zoom or hybrid option available.
Breakfast will be served.
Please email ckaplan@mayerbrown.com to register.