Learn to confidently navigate the often murky, ever-shifting waters of securities law to effectively advise clients raising capital through private financings. After laying out the federal and state securities law regulatory framework, we will discuss key private registration exemptions. We will then spend most of the course equipping you to make decisions regarding the type/amount of documentation and disclosure your clients need and keeping them and yourself out of trouble.
- What is a “security” in 2023
- Overview of the U.S. securities regulatory landscape
- The Securities Act of 1933 and other federal securities laws
- State “Blue Sky” laws, including how they relate to federal securities laws
- Common private securities offering registration exemptions, including Regulation D and Regulation CF
- The lawyer’s role in securities offerings
- Conducting due diligence
- Lawyer liability in the securities arena
- Disclosure and documentation requirements, including when you need a Private Placement Memorandum (PPM)
Brett A. Cenkus, Esq.
Robert A. Cherry, Esq.