Third PIPEs Summit

July 17, 2007
The Princeton Club of New York, New York City

July 17 - 19, 2007

3rd PIPEs Summit
The Princeton Club of New York, New York City

Speakers: Scott Corrigan, David Fein, Mike Grundei
Hosted by: IPQC

For additional information, please contact David B. Fein at [email protected] or 203-363-7603.

Event Details

Private Investments in Public Equities (PIPEs) are a powerful tool to raise capital, generate investment returns, create jobs and spur innovation. IQPC collaborated with an Advisory Board and past event attendees to select a panel of speakers that are uniquely qualified to address the key factors and emerging trends driving the market. The result is the 3rd PIPEs Summit!

Wednesday, July 18, 2007
9:05 a.m.

SEC Activities: Update On Rule 415/How To Do Business In The Era Of 415
The SEC recently began to more closely examine many PIPE registration statements in light of their Rule 415 interpretation. As a result, many PIPE registrations are being recharacterized as primary offerings, which threatens to eliminate the ability of companies facing this issue to raise capital. Additionally, other companies are having to significantly cut back on their fundraising in order to avoid running afoul of the Rule. This Panel examines all the latest developments and SEC guidance on this issue as well as other SEC interpretations, stock exchange rule developments and regulatory issues including:

  • Updates on SEC interpretations
  • When will we receive definitive guidance from the SEC?
  • Concrete, real life examples of how we're able to register more securities than 415 would allow
  • Stock exchange rules
  • Understanding how to do business in the era of 415!

Eleazer Klein

Richard I. Anslow
Managing Partner
Anslow & Jaclin LLP

Michael Grundei
Wiggin and Dana LLP

Greg Sichenzia
Founding Partner
Sichenzia Ross Friedman Ference LLP

Thursday, July 19, 2007
9:05 a.m.

The Enforcement Landscape
The panelists will discuss recent government investigations into PIPE transactions and the resulting DOJ prosecutions and SEC enforcement actions. The discussion will also include the do's and don'ts of responding to SEC, DOJ and SRO inquiries and subpoenas, as well as recommended policies and procedures for day-to-day operations to avoid criminal and regulatory exposure.

Panel Moderator:
David B. Fein
Wiggin and Dana LLP


Scott Corrigan
Wiggin and Dana LLP

James Hartmann
Chief Compliance Officer
UBS Alternative & Quantitative Investments LLC

David Markowitz
Assistant Regional Director
U.S. Securities and Exchange Commission (SEC)

David Steiner, VP
Market Trading Analysis 2
NYSE Regulation, Inc.

To view the latest agenda and download the brochure, visit or call 1-800 -882-8684!