Mark McElreath and Mark Shuman presented "Preparing and Filing the Registration Statement; the Regulatory Process," October 29, 9:00am - 12:30pm, during this program sponsored by Practising Law Institute. The presentation covered the following topics.
- Form eligibility considerations (e.g., S-1, S-3)
- The drafting process and how to add value
- Making the initial filing
- Confidential treatment requests
- Incorporation by reference
- “Experts” and consents Section 5 and the communication rules
- Liability issues
- Risk disclosure
- Drafting risk factors
- PSLRA safe harbor rules
- "Bespeaks caution" doctrine
- Review Procedures in the Division of Corporation Finance
- Brief overview of the division
- Processing '33 Act filings
- Current Staff focus
October 28 -29, 2010
University of Chicago - Gleacher Center/ Chicago, IL