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Category Archives: Reports

Reports | 21 Jan 2021
2020 Annual Report. We are pleased to share with you the 2020 Annual Report on the activities of the Forum for US Securities Lawyers in London (“Forum”). We know that 2020 was a challenging year for many in the wake of the COVID-19 pandemic and was certainly an eventful year for capital markets and US securities laws. We wish you all ...
Reports | 14 Sep 2016
A Decade-in-Review. The Forum for US Securities Lawyers in London (the “Forum”) is proud to present its Decade-in-Review, which sets forth the Forum’s activities since its inception in 2006. View the report here.
Reports | 1 Jan 2016
Annual Review 2015. Please find the Forum Year-In-Review online here, which looks at the Forum’s activities in 2015. The Forum had a very successful 2015 with the publication of our International Capital Markets Glossary and our leading role in implementing electronic settlement of Regulation S, Category 3 securities trading on the London Stock Exchange. We wish you a ...
Reports | 19 Sep 2013
PLI One-Hour Briefing: London Investment Company Act Equity Procedures 2012. PLI Briefing, September 19, 2013 – International Implications of the Recent JOBS Act Amendments 20 November 2012 at 16:00 GMT The Forum for U.S. Securities Lawyers in London has recently launched the final draft of the London Equity Procedures 2012 (the “Procedures”), which include a menu of procedures and considerations to be used by issuers ...
Reports | 19 Sep 2013
PLI Briefing, September 19, 2013 – International Implications of the Recent JOBS Act Amendments. The Forum for US Securities Lawyers in London recently hosted a Roundtable discussion on August 14th regarding the July 10, 2013 JOBS Act amendments eliminating the prohibition on “general solicitation” and “general advertising” under Rule 506(c) of Regulation D and Rule 144A. For a summary document stemming from the Roundtable discussions, please click here. We ...
Reports | 4 May 2012
Investment Company Act Section 3(c)(7) Model Procedures for Equity Issuances in the London Capital Markets. These model procedures (the “London Equity Procedures 2012”) for equity issuances in the London capital markets under Section 3(c)(7) (“Section 3(c)7)”) of the Investment Company Act of 1940, as amended (the “Investment Company Act”) contain procedures designed specifically for the London capital markets that may be used by non-U.S. investment companies seeking exemption from registration ...
Reports | 1 Jan 2010
Annual Report 2009. Rule 15a-6 Comment Letter(September 2008) Year 2 Project – Regulation S, Category 3 Year Two Project Annual Report for 2009, summarizing the Forum’s activities for 2009. View Report
Reports | 1 Jan 2009
Annual Report 2008. Annual Report for 2008, summarizing the Forum’s activities for 2008 View Report
Reports | 4 Jan 2008
Annual Report 2007. Annual Report for 2007, summarizing the Forum’s activities for 2007 View Report
Reports | 4 Aug 2007
Year 2 Project – Regulation S, Category 3 Year Two Project. Proposed model procedures relating to off-shore electronic trading and settlement post the one-year distribution compliance period for non-affiliate Regulation S, Category 3 Securities. View Project

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