Section 3(a)(2) of the Securities Act provides an exemption from registration for securities issued by banks. During this program, counsel Bradley Berman and Citigroup’s Jack McSpadden will cover the requirements of that exemption, offering structures for non-U.S. banks, the Office of the Comptroller of the Currency’s Securities Offering Regulations, special requirements for branches and agencies of non-U.S. banks regulated by the New York Department of Financial Services, offering documentation and the mechanics of launching a bank note program.

Topics will include:

  • What Is a “Bank”?;
  • Non-U.S. Banks and Branches;
  • The OCC’s Securities Offering Regulations;
  • Rule 144A Offering Alternative;
  • FINRA Matters;
  • Offering Documentation;
  • Launching a Bank Note Program; and
  • Liabilities 

    Tuesday, November 6, 2018
    1:00 p.m. – 2:00 p.m. Eastern

    West LegalEdcenter will provide CLE credit. For more information, or to register for this session, please visit the event website.

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