Keys To Equity Financing: The Compliance Requirements for Lenders and Borrowers


A CLE webinar providing a review of Regulations U and X, Rule 144, and UCC Articles 8 and 9, focusing on how to structure financing secured by stock, hedge fund shares, 40 Act companies and other investment vehicles. The speakers offer their perspectives and guidance on these and other critical questions:

  • What are the regulatory issues related to using collateral as investment vehicle interests to secure a loan that are relevant to counsel?
  • What are the best practices for finance counsel in structuring the loan agreement?
  • What foreclosure concerns should counsel consider and address?
  • What are the key bankruptcy safe harbors that counsel should be able to navigate?

Presented by Strafford Publications, Inc., May 23, 2013. (For information, click here.)

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