CMPO Essentials: Regulatory and Legal Framework
Understanding Legal and Regulatory Requirements for Conducting a CMPO
This episode delves into the legal and regulatory requirements necessary for a company to execute a Confidentially Marketed Public Offering (CMPO). Key topics covered include self-registration, SEC filing, securities tax compliance, FINRA oversight, underwriting compensation, and confidentiality rules under Regulation Fair Disclosure (REG FD).
The discussion emphasizes the importance of pre-planning and ensuring all regulatory aspects are thoroughly addressed to expedite the market entry process while maintaining confidentiality and compliance.
Disclaimer: Joshua Wilson is a registered investment banking representative and a licensed real estate broker. The content of this podcast is for informational purposes only and should not be considered legal, financial, or compliance advice. This podcast is not a substitute for professional advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners are encouraged to consult their own compliance teams, legal counsel, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.
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Mike Blankenship
Corporate Attorney
Mike is the managing partner of Winston’s Houston office, co-chair of the firm’s Capital Markets Practice, and a member of the firm’s Executive Committee. He focuses his practice on corporate finance and securities law, including securities offerings, public company advisory, special purpose acquisition company offerings, private equity and venture capital transactions, mergers and acquisitions, and general corporate representation.