United States: Section 3(a)(2) Bank Note Programs
Last Updated: February 6 2017

Section 3(a)(2) of the Securities Act provides an exemption from registration for securities issued by banks. This program will cover the requirements of the exemption, offering structures for non-U.S. banks, requirements for banks and branches regulated by the Office of the Comptroller of the Currency, offering documentation and process tips for launching a bank note program.

Topics Will Include:

  • What is a "Bank"?
  • Non-U.S. Banks;
  • The OCC Securities Offering Regulations;
  • Rule 144A Offering Alternative for non-U.S. banks;
  • FINRA Matters;
  • Offering Documentation;
  • Launching a Bank Note Program; and,
  • Liabilities.


  • Bradley Berman,
    Of Counsel, Morrison & Foerster LLP
  • Jack McSpadden, Jr.,
    Managing Director, Citigroup Global Markets Inc.
  • Thursday,
    February 16, 2017
    12:00 p.m. – 1:00 p.m. EST
  • Continuing Education Credits:
    Credit is pending.


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