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The recent crisis in the securities markets has revived the SEC's efforts to regulate and investigate PIPE fund activities. From new proposals for fund registration, derivative regulation, and short-sale restrictions, to amendments to Rules 144 and 415, and revitalized enforcement of manipulative trading violations, the SEC is moving on the PIPE market from a number of fronts.

This webinar provides you with updates on the latest regulatory and litigation issues, and their impact on the trading and financing of microcap companies.

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AGENDA

Short-Selling Update and Attempts to Regulate Hedge Funds
Michael MacPhail - Holland & Hart

  • Short-Selling Update
  • Demise of the SEC's Emergency Rule
  • Investigations of "Short and Distort"
  • Hedge Fund Regulation Initiatives
Litigation Involving Hedge Funds, PIPEs and Insider Trading
Lisa Cuifolo - Ballard Spahr Andrews & Ingersoll

  • Cases Involving Hedge Funds
  • SEC Focus on Hedge Funds and PIPE Transactions
  • Insider Trading
  • Is the Case Against Mark Cuban Part of a Trend?
Outlook for SEC Rulemaking on Private Placements in Micro Caps
Jack Hogoboom - Lowenstein Sandler

  • Takeaways from the SEC Small Business Capital Formation Forum
  • Anticipated Relief for Former Shells Using Rule 144
  • Recent Clarification of Rule 415 Interpretations
  • Expansion of Eligibility for S-3 Offerings
  • Finder Registration

Moderated by Brett Goetschius, The PIPEs Report

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