Topic
Private Placement
194 published works
Capital Markets
SEC Seeks Comments on How to Simplify Private Securities Offering Exemptions
By Rob Evans
On Tuesday, June 18, 2019, the SEC issued a Concept Release[1] seeking comments on how to rationalize and simplify the framework governing exempt offerings in order to expand the opportunities…
Securities Compliance Sentinel
SEC Wants Comments on Private Offering Rule Changes
Recently, the SEC issued a concept release to obtain input on possible changes to the offering rules. The SEC may change Regulation D private placements, Regulation Crowdfunding, secondary trading rules, the…
Compliance Building
Harmonization of Securities Offering Exemptions
or all you ever wanted to know about private placements The Securities and Exchange Commission is stepping into the meeting point of its mandates by looking to “simplify, harmonize, and…
Government Contracts
P3 Trends: Rise in Private Placement Financing of Mid-Size P3s
By Andrej Micovic, Albert E. Dotson, Jr.
In the last twelve months, four national public-private partnerships (“P3s”) have been financed in the U.S. private placement market, accounting for over $800 million in project cost financing. While there…
Global Regulation Tomorrow
FCA updates NPPR notification process
By Iona Wright (UK), Imogen Garner (UK)
On 2 May 2019, the FCA updated its webpage on the national private placement regime (NPPR). The NPPR allows some Alternative Investment Fund Managers (AIFMs) to market certain categories of…
Capiche
IIROC Confirms Acceptability of Electronic Signatures
By Capiche
With IIROC Notice 19–0051 dated March 26, 2019, the Investment Industry Regulatory Organization of Canada (IIROC) has clarified that investment dealers can use and accept electronic signatures. Clients of investment…
Capital Markets
Private Offerings After Testing-the-Waters
By Rob Evans
The SEC recently proposed allowing all issuers (not just emerging growth companies) to test-the-waters with qualified institutional investors (QIBs) and institutional accredited investors (IAIs) before and after filing a registration…
Free Writings + Perspectives
Mayer Brown Event – Late Stage Private Placements and Private Secondary Market Liquidity
By Mayer Brown
Tuesday, February 26, 2019 Registration: 8:30a.m. – 9:00 a.m. Program: 9:00a.m. – 10:00 a.m. Location Mayer Brown LLP 1221 Avenue of the Americas, New York, NY 10020 Successful privately held…
Free Writings + Perspectives
Pre-IPO Funding in Tech
More companies continue to raise large sums of capital through late-stage or pre-IPO private placements as they prepare, or in some cases delay, going public. Tech companies are among the…
Free Writings + Perspectives
Report on FINRA Examination Findings Cites Private Placement Practice Concerns
FINRA today published its Report on FINRA Examination Findings and highlights private placement related concerns. In its examinations of the practices of many broker-dealers, the report notes FINRA found instances…