Marc Indeglia

Partner and Co-Chair of the Corporate Department

Glaser Weil Fink Howard Jordan & Shapiro LLP

Marc Indeglia is a partner in the Corporate Department of Glaser Weil. His practice focuses on securities, financings, mergers and acquisitions, and general corporate representation, representing public and private companies and financial institutions such as broker-dealers, investment banks, venture capitalists, private investment funds, and family offices. Marc also serves as the president of the Small Public Company Coalition, a federal advocacy coalition that represents the small public company community through government relations, lobbying, and public education initiatives.

    Topic

    3:20 PM - 4:00 PM

    Thursday November 14 2024

    What you Need to Know About the SEC's Enforcement Campaign Against Convertible Debt PIPE Investors

    • Overview of the ~20 actions against PIPE investors for failing to register as “dealers”
    • Understanding the SEC’s argument and the factors to be considered as to whether a PIPE investor is a dealer
    • Discussion of the consequences to the PIPE market
    • How investors can protect themselves
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