David Fine
Senior Legal Counsel
Yorkville Advisors, LLC
David Fine is Senior Legal Counsel and he joined the firm in 2004. He primarily focuses on representing the firm in all stages of an investment from structuring a deal, to term sheet preparation, through final transaction documentation and subsequent SEC registration. David is also a member of the firm’s Investment Committee and reviews and advises on the structure of proposed transactions.
Prior to joining Yorkville, David served as Senior Legal Counsel in the Enforcement Division of the Securities & Exchange Commission in New York. While at the SEC, David participated in numerous investigations involving a range of securities law issues, including the practices of PIPE investors, issuers and placement agents.
David earned a BBA in Finance and Accounting from the University of Michigan and a JD degree from Fordham Law School.
Topic
2:35 PM - 3:15 PM
Thursday November 14 2024
What you Should Know About Foreign Issuers and the PIPE Market
- Overview of foreign securities laws and exchange listing requirements
- Restrictions on transfer/resales of securities (Regulation S, Restrictive Legends)
- Differences in documentation from domestic PIPEs
- Canadian issuers, their regulatory regime, holding exemptions, and the US/Canada disclosure system
- U.S. registration and dual listings; Exemptions from ’34 Act registration for foreign private issuers
