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Exempt Encyclopedia: A Guide to US Capital Markets Jargon

19 October 2022

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Exempt Encyclopedia: A Guide to US Capital Markets Jargon is intended to demystify jargon frequently used in connection with large securities offerings that are marketed in the United States on an exempt (unregistered) basis. The guide aims to be helpful to investment bankers and in-house lawyers working in London on capital markets transactions.

Key Contacts

If you have any questions, or would like to know how this might affect your business, phone, or email these key contacts.

Dennis is Counsel (US) in the firm's corporate practice with a focus on capital markets.

Key Services
Capital Markets
Equity Capital Markets
Key Sectors
Financial Institutions
+44 20 7466 2909
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Tom is a London-based US securities partner and Head of the US Securities Group.

Key Services
US Securities
Capital Markets
Key Sectors
Financial Institutions
Energy
+44 20 7466 2466
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Mike is Managing Partner for Corporate and Regional Head of Practice for Corporate, UK and specialises in M&A and ECM transactions.

Key Services
Mergers and Acquisitions
Equity Capital Markets
Key Sectors
Financial Institutions
Asset and Wealth Management
+44 20 7466 2507
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Amy is an experienced English law qualified partner and Global Head of the Debt Capital Markets practice. She advises both issuers and managers on international debt and equity-linked capital markets transactions helping clients on complex and innovative DCM transactions in multiple jurisdictions.

Key Services
Debt Capital Markets
Capital Markets
Key Sectors
Financial Institutions
Banks
+44 20 7466 2541
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Dinesh advises investment banks, investment funds and corporations on complex, cross-border capital markets transactions.

Key Services
US Securities
Equity Capital Markets
Key Sectors
Banks
Oil and Gas
+44 20 7466 2042
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Michael is a corporate partner specialising in equity capital markets, growth capital and M&A transactions. 

Key Services
Equity Capital Markets
Mergers and Acquisitions
Key Sectors
Financial Institutions
Asset and Wealth Management
+44 20 7466 2463
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Sarah is a corporate lawyer specialising in equity capital markets transactions and M&A.

Key Services
Equity Capital Markets
Public mergers and acquisitions
Key Sectors
Financial Institutions
Technology, Media and Telecommunications
+44 20 7466 2268
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Thomas is Of Counsel in the firm’s corporate practice specialising in equity capital markets transactions.

Key Services
Equity Capital Markets
Corporate
Key Sectors
Financial Institutions
+44 20 7466 2742
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Legal Notice

The contents of this publication are for reference purposes only and may not be current as at the date of accessing this publication. They do not constitute legal advice and should not be relied upon as such. Specific legal advice about your specific circumstances should always be sought separately before taking any action based on this publication.

© Herbert Smith Freehills 2023