Topic
Private Placement
194 published works
Big Molecule Watch
Alvotech Announces Private Placement Financing
Yesterday, Alvotech announced that its parent company, Alvotech Holdings SA, completed a $65 million private placement round, which the company said is part of its $100 million private placement round…
Indochine Counsel Blog
Private Share Placement in Vietnam
Ever since the stock exchange opened in the late 1990s, the procedures for private share placement in Vietnam have been divided between public companies and privately held companies. For publicly…
Whitman Legal Solutions Blog
SEC Adds Knowledgeable Issuer Employees to List of Accredited Investors in Private Placements
Young musicians frequently ask what it takes to be a professional musician. Guitarist Tom Hess, formerly with the band Rhapsody of Fire, believes he has the answer. Hess offers both…
GT Israel Law Blog
SEC Proposes Exemption from Registration for Finders
By William Mack, Dale Rose Goldstein
United States regulations currently impose significant restrictions on using a “finder” to raise private equity from U.S. investors and on the ability of companies to pay finder’s fees, or transaction…
Federal Securities Law Source
SEC proposes exemptions from registration for finders
On Oct. 7, 2020, the Securities and Exchange Commission (SEC) proposed a limited and conditional exemption from broker registration for natural persons, referred to as “finders,” who seek to help…
The Securities Edge
SEC changes “accredited investor” definition – good, but not enough
[caption id="attachment_3590" align="alignright" width="320"] Image by Krithika Parthasarathy from Pixabay[/caption] On August 26, 2020, the SEC adopted changes to its definition of “accredited investor.” The SEC Release can be found…
Global Regulation Tomorrow
FINRA issues guidance on retail communications relating to private placements
By Andrew Lom (US), Glen Barrentine (US), Rachael Browndorf (US)
On July 1, 2020, FINRA issued guidance to member firms on compliance with FINRA Rule 2210 (“Rule 2210”)) on the marketing of private placements to retail investors. These private placements…
Global Financial Regulatory Blog
FINRA Issues Guidance on Retail Communications in Private Placements
The guidance highlights certain issues identified by FINRA regarding member firm communications to retail investors in private placement offerings. By Dana G. Fleischman, Stephen P. Wink, Naim Culhaci, and Deric Behar On July 1,…
Corporate & Financial Weekly Digest
FINRA Provides Guidance on Retail Communications Concerning Private Placements
By Susan Light, Michael T. Foley, Jack A. West
On July 1, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-21 (the Notice) providing guidance on compliance with FINRA Rule 2210 Communications with the Public when creating, reviewing,…
Capital Markets
NYSE Follows NASDAQ in Temporarily Exempting Some Private Offerings From Shareholder Approval
On May 14, 2020, the NYSE adopted temporary rules that will permit its listed companies to issue more than 20% of their presently outstanding common stock in a private placement…