FINRA rules regulate, among other things, the fairness of underwriting terms and arrangements, including compensation arrangements and certain conflicts of interest, in connection with the distribution of public offerings.
Please join us for a discussion of how these various FINRA rules relate to, and can have a substantial impact on, the structuring and distribution of public offerings, including IPOs, follow-on offerings, and shelf offerings, as well as the impact of certain recent FINRA rule changes that will soon be effective, and the potential impact of certain pending FINRA rule proposals, on the public offering process.
David M. Katz, Partner, Chair of the American Bar Association’s Subcommittee on FINRA Corporate Financing Rules
Benjamin L. Nager, Counsel
Thursday, October 21, 2010
4:30 PM to 6:00 PM (Eastern)
Cocktail Reception to follow
Please RSVP to firstname.lastname@example.org and indicate if you will attend in person or if you will dial into the audio.
CLE Credits: Sidley Austin LLP is an accredited provider of New York MCLE credit. This program is pending 1.5 hours of MCLE credit.