Exemptions, Debt Securities

What’s the Deal? article on Section 3(a)(2) bank note programs

Mayer Brown Free Writings + Perspectives on 9/1/2021

Here’s the deal:  Section 3(a)(2) bank note programs are medium-term note programs with a “bank” as the issuer  The issuer must be a “bank,” as defined in Section 3(a)(2) of the Securities Act  Bank note...more

What’s the Deal? Medium-Term Note Programs

Mayer Brown Free Writings + Perspectives on 7/22/2020

Here’s the deal: MTN programs are designed to enable frequent debt issuers to access the market quickly, without the burden of negotiating a suite of takedown documents for each debt issuance. ...more

SEC Approves FINRA Rule 5110 Amendments

Mayer Brown Free Writings + Perspectives on 12/27/2019

Recently, the Securities and Exchange Commission approved FINRA’s proposed amendments to its Corporate Financing Rule, which are intended to modernize, simplify, and streamline the rule....more

The next chapter - A new bond linking financial returns to environmental or social goals could thrive. But securities law...

Morrison & Foerster LLP on 9/13/2016

Shakespeare’s Juliet may not have ascribed great significance to a name but for securities lawyers and market participants alike there is significance to nomenclature. Social impact bonds, or investments that are intended to...more

FINRA Releases Revised 4210 Margin Rule Proposal

Morgan Lewis on 10/16/2015

The reproposed amendments to Rule 4210 attempt to address commenters’ concerns that the original proposed rule would impact business activity in the TBA market....more

SEC Approves Rule to Regulate Debt Research Reports and Debt Research Analysts

Morgan Lewis on 10/6/2015

Background - Eight years in the making, the US Securities and Exchange Commission (SEC) has finally approved the Financial Industry Regulatory Authority’s (FINRA's) proposed Rule 2242 (the Rule or Rule 2242), which will...more

SEC Adopts Regulation A+

Bradley Arant Boult Cummings LLP on 8/28/2015

Newly adopted exemption to securities registration requirements may offer new capital raising opportunities for developing companies - A company that seeks to raise capital by offering or selling securities to potential...more

Summary Of Proposed Amendments To Regulation A

Stinson - Corporate & Securities Law Blog on 12/31/2013

On December 18, 2013, the SEC published its proposal to modify Regulation A. The SEC is proposing to expand Regulation A into two tiers: Tier 1, for offerings of up to $5 million; and Tier 2, for offerings of up to $50...more

Exemptions › Debt Securities

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