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Understanding How Regulation M Applies to Your Offering

Mar 26, 2019

Speaker(s)

Regulation M, which is intended to prohibit manipulative activity in relation to securities offerings, is difficult to navigate. During this webinar, we will:

  • Provide an overview of Regulation M,
  • Discuss the most important excepted activities,
  • Discuss how Regulation M applies to private placements and hybrid offerings,
  • Discuss its application in the case of merger/exchange transactions,
  • Discuss FINRA Reg M notice requirements, and
  • Discuss Rule 105 and SEC enforcement activities.

CLE credit will be provided by West LegalEdCenter. For more information, or to register for this session, please visit the event website.

Date: March 26, 2019
Time: 1:00 PM – 2:00 PM EST