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• Private Placement Offerings ( May 2000 )
  

  A private placement offering is the sale of stock of a company to private investors without the use of public market exchanges. Although the end result of a private placement offering is the same as a public sale of stock through the exchange markets (i.e. the sale of stock to the private investor), unlike a public offering, a private placement offering does not involve securities that are registered with the Securities & Exchange Commission ("SEC").

• Will ABS/MBS Launch From the Aircraft Carrier? ( April 2000 )
  

  Background In November 1998, the Securities and Exchange Commission proposed a set of changes to the regulatio.

• IPO Participation Rights Could Be Wrong ( January 2000 )
  

  To take advantage of escalating first day trading prices for many technology companies, venture capitalists often .

• SEC Adopts New Rules For Cross-Border Transactions ( January 2000 )
  

  The Securities and Exchange Commission (the "SEC") recently adopted tender offer and registration exemptive r.

• Releasing Research Reports -- What Can You Do? ( September 1999 )
  

  We frequently are asked by our investment banking clients whether their colleagues in the research department can issue a research report on a company about to launch a financing.

• Securities Alert--July 1999 ( July 1999 )
  

  The Securities and Exchange Commission (the "SEC") recently adopted amendments to Rule 504 of Regulation D ("Rule 504"). Rule 504 provides an exemption from registration under the Securities Act of 1933 (the "Act") for offerings of non-reporting issuers to raise "seed capital" in an aggregate amount of no more than $1 million in a 12-month period.

• Global Offerings--Registered or Rule 144A? (1999) ( January 1999 )
  

  This securities alert discusses the advantages and disadvantages of the two types of global offerings, either by registering with the SEC or by avoiding registration by using rule 144A.

• Global Offerings--Structure (1999) ( January 1999 )
  

  This securities alert discusses a common financing technique for non-U.S. companies who seek to hold a global offering of securities. It discusses the U.S. rules governing such transactions and offers a discussion on the types of securities that can be offered.

• Rule 12G3-2 Exemption (1999) ( January 1999 )
  

  This memorandum details the application and compliance with Rule 12G3-2 to provide an exemption to the reporting requirements under the SEC.