CHAPTER 5
The Law Legal and Regulatory Framework
JAMES R. TANENBAUM AND ANNA T. PINEDO
Morrison & Foerster LLP
At almost every PIPE kick-off or organizational meeting we attend, we are asked if we can point to any authoritative written material dealing with the legal and regulatory requirements, as well as the procedures for executing PIPEs and parallel capital-raising transactions. This chapter is an effort to answer this question affirmatively. The first part deals with the legal and regulatory framework governing PIPEs and other hybrid financings, focusing on matters that are important for issuers, investment bankers, and investors. The second part presents our thoughts on best practices for executing PIPEs and other hybrid financings. ...
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