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PIPEs: A Guide to Private Investments in Public Equity: Revised and Updated Edition by E. Kurt Kim, Steven Dresner

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CHAPTER 4
The Players Issuers, Investors, Agents, and Regulators
STEVEN DRESNERANDBRETT GOETSCHIUS
The PIPEs Report
 
 
 
 
Those integral to the business of PIPEs can be divided into four primary groups: issuers, investors, placement agents, and regulators. Since the publication of the first edition of this book, the individuals and institutions responsible for creating and enforcing securities law have become increasingly important to the PIPE market, as well as the broader equity markets. Because of progressive interest in this area, a section on the role of regulators has been added to this chapter for the second edition.
The activity of these groups within the PIPE market continues to be closely interrelated. Companies seeking investment rely ...

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