Keys To Equity Financing: The Compliance Requirements for Lenders and Borrowers
Structuring Loans Secured by Stock, Hedge Fund Shares, 40 Act Companies and Other Investment Vehicles
Recording of a 90-minute premium CLE webinar with Q&A
This CLE course will provide business counsel with a review of Regulations U and X, Rule 144, and UCC Articles 8 and 9, focusing on how to structure financing secured by stock, hedge fund shares, 40 Act companies and other investment vehicles.
Outline
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Primary regulatory issues related to using collateral as investment vehicle interests to secure a loan
- Margin Regulations U and X
- Rule 144
- Bankruptcy safe harbors
- Requirements and methods for creating security interests in stock, hedge fund shares, 40 Act companies
- Foreclosure issues
- Best practices for structuring the loan agreement and avoiding common pitfalls
Benefits
The panel will review these and other key questions:
- What are the regulatory issues related to using collateral as investment vehicle interests to secure a loan that are relevant to counsel?
- What are the best practices for finance counsel in structuring the loan agreement?
- What foreclosure concerns should counsel consider and address?
- What are the key bankruptcy safe harbors that counsel should be able to navigate?
Following the speaker presentations, you'll have an opportunity to get answers to your specific questions during the interactive Q&A.
Faculty

Craig S. Unterberg
Partner
Haynes & Boone
He concentrates his practice in the areas of representing borrowers and lenders in secured and unsecured lending and... | Read More
He concentrates his practice in the areas of representing borrowers and lenders in secured and unsecured lending and structured finance transactions, including margin stock lending, private equity and hedge fund financing, syndicated financings, mergers and acquisition financings, and distressed debt transactions. In addition, he provides extensive regulatory advice on margin lending issues.
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R. Todd Ransom
Partner
Haynes & Boone
Mr. Ransom concentrates his practice in the areas of finance and energy. His finance practice includes the... | Read More
Mr. Ransom concentrates his practice in the areas of finance and energy. His finance practice includes the representation of hedge funds, private equity firms, investment banks and other financial institutions in connection with various financing arrangements, including margin lending agreements, other securities based financing arrangements, and structured equity finance transactions.
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Lin Yu
Director and Counsel
Credit Suisse Securities
A company Director, her practice focuses on equity-linked derivatives and financing backed by margin stock.
| Read MoreA company Director, her practice focuses on equity-linked derivatives and financing backed by margin stock.
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