Regulation M: What the Deal Team Needs to Know | Practical Law

Regulation M: What the Deal Team Needs to Know | Practical Law

This Practice Note gives an overview of Regulation M, focusing on the restrictions it places on underwriters, issuers, and selling securityholders, and affiliates of these parties, in certain securities offerings (Rule 101 and Rule 102). It explains Regulation M's provisions permitting Nasdaq passive market making and stabilization in securities offerings (Rule 103 and Rule 104). It also discusses the restrictions on short selling before certain public offerings (Rule 105).

Regulation M: What the Deal Team Needs to Know

Practical Law Practice Note 8-519-7375 (Approx. 17 pages)

Regulation M: What the Deal Team Needs to Know

by Adam E. Fleisher, Cleary Gottlieb Steen & Hamilton LLP, with Practical Law Corporate & Securities, with special thanks to Jung W. Ju
Maintained • USA (National/Federal)
This Practice Note gives an overview of Regulation M, focusing on the restrictions it places on underwriters, issuers, and selling securityholders, and affiliates of these parties, in certain securities offerings (Rule 101 and Rule 102). It explains Regulation M's provisions permitting Nasdaq passive market making and stabilization in securities offerings (Rule 103 and Rule 104). It also discusses the restrictions on short selling before certain public offerings (Rule 105).