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Regulation D Offerings and Private Placements--2007

Private placements are the nation’s most pervasive and varied method of capital formation. Entities ranging from small start-ups to the largest international public companies, investment funds, and real estate vehicles regularly use private placements. Regulation D is the principal regulatory basis for these transactions. Lawyers involved in private placements must deal with constantly changing offering structures, such as private placements following deferred IPO offerings, private placements followed by public resales, private placements followed by immediate resales under Rule 144A, and widespread stock options in large private companies. CM068

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Table of Contents

Unregistered Offerings of Corporate Securities including Regulation D and Regulation A (56 pp) $39.00

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Roadmap for Undertaking a Private Offering (14 pp) $29.00

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Limitations on the Manner of Offering under Regulation D (28 pp) $29.00

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Communications During the "Offering Process" and Securities Offering Reform by SEC (14 pp) $29.00

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AIM (Equity) Offerings under Regulation S and Trading and Resale Constraints (24 pp) $29.00

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Due Diligence in Private Placement Offerings (24 pp) $29.00

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Due Diligence in Private Placements - Checklists (16 pp) $29.00

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Materiality, Informal Disclosure, Soft Information, and Forward Looking Statements under Securities Laws (34 pp) $29.00

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The Private Placement Process (36 pp) $29.00

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Offering Guidelines and Compliance Checklist (10 pp) $29.00

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Disclosure in Private Placements of Interests in Limited Partnerships (84 pp) $39.00

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Legal Opinions in Regulation D Offerings (22 pp) $29.00

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Private Offerings by Private Investment Funds (20 pp) $29.00

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Blue Sky Practice - Part I: Doing It Right: Avoiding Liability Arising from State Private Offerings under ULOE and Limited Offering Exemptions (90 pp) $39.00

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Blue Sky Developments - Part II: Small Corporate Offering Registration - Form U-7 (46 pp) $29.00

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Blue Sky Practice (24 pp) $29.00

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Structuring Best Efforts Offerings and Closings under Rule 10b-9 (26 pp) $29.00

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Frequently Asked Questions about the Resale of Restricted Securities (10 pp) $29.00

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Offers, Sales and Resale of Securities Under Rule 144A (10 pp) $29.00

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Securities Offerings to Employees, Consultants, and Advisors under Rule 701 (24 pp) $29.00

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Installment Payments in Public and Private Offerings (6 pp) $29.00

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Private Placements in Mergers and Acquisitions: Avoiding General Solicitation (8 pp) $29.00

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Rescission Offers under Regulation D (6 pp) $29.00

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Private Placements: Civil Liabilities under the Federal Securities Laws (36 pp) $29.00

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PIPEs Hedging under Scrutiny (22 pp) $29.00

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Report and Recommendations of the Task Force on Private Placement Broker-Dealers (74 pp) $39.00

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Preliminary Recommendations Proposed by the Capital Formation Subcommittee of the SEC Advisory Committee on Smaller Public Companies (Dec. 7, 2005) (10 pp) $29.00

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Excerpt from Final Report of the Advisory Committee on Smaller Public Companies to the U.S. Securities and Exchange Commission (April 23, 2006) (48 pp) $29.00

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Regulation D: Rules Governing the Limited Offer and Sale of Securities Without Registration under the Securities Act of 1933 (12 pp) $29.00

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SEC Release No. 6455: Interpretive Release on Regulation D (March 3, 1983) (22 pp) $29.00

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Form D: Notice of Sale of Securities Pursuant to Regulation D, Section 4(6), and/or Uniform Limited Offering Exemption (11 pp) $29.00

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