Integration Archives - Capital Markets

Topic: Integration

SEC Proposes Sweeping Changes for Exempt Offerings

by Stanley Keller, Rob Evans and Eugene McDermott | Mar 13, 2020 | 1933 Act Offerings, Integration, Private Placements

The Securities and Exchange Commission on March 5, 2020 proposed sweeping changes ‎to the rules governing capital raising through private offerings and other offerings exempt from ‎registration under the Securities Act. If adopted, these amendments, along with the previously ‎proposed expanded definition of “accredited investor,” will be the most significant changes in ‎the regulation of exempt offerings in many years, expanding opportunities for capital raising ‎without registration. ‎

Integration of Private and Public Offerings 2019

by Stanley Keller | Mar 15, 2019 | 1933 Act Offerings, Integration, Private Placements

This outline reviews the SEC’s interpretations that relate to the integration of private and public offerings and the challenges they present for the capital formation process. The outline also describes current policies of the SEC staff that affect so-called “PIPE” offerings and “private equity lines.”

Topic: Integration

SEC Proposes Sweeping Changes for Exempt Offerings

Integration of Private and Public Offerings 2019

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