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Event occurred on: 1-30-2023

Northwestern’s Annual Securities Regulation Institute

Time: 2:15 PM - 3:15 PM PT

US Managing Partner and Head of US Capital Markets Sarah Solum will be speaking on the panel “Capital Markets for Reporting Companies” at Northwestern’s Securities Regulation Institute 2023.

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The program provides an introduction of the US securities laws and addresses the fundamentals of securities law practice. The regulatory fundamentals will be covered, in addition to current trends and common issues encountered by securities attorneys.

Sarah’s panel will cover:

  • Follow-ons, PIPEs, and other financing alternatives in choppy markets
  • The future of lock-ups, trading black-outs, 10b5-1, and liquidity restrictions
  • Direct listings versus traditional IPOs
  • Wall-crosses, cleansing, and pre-offering marketing activities
  • Pre-IPO converts a year after going public


Event location

Hotel del Coronado
1500 Orange Ave
Coronado, CA

Freshfields speakers

Sarah K. Solum

US Managing Partner and Head of US Capital Markets, Freshfields

See profile >