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Live Webinar

100-minute live streaming program
  • January 26
  • 1:00 - 2:40 pm EST

Also available as:

OnDemand Course

Avoiding Potential Pitfalls of Raising Capital

January 26

Avoid potential pitfalls when raising capital by learning how to utilize SEC Rule 506(c) and understanding the key elements of the crowdfunding regulation.

The Jumpstart Our Business Startups Act (the JOBS Act) became law on April 5, 2012, and was designed, in part, to enhance the raising of capital, especially by small or emerging businesses. As a result of the JOBS Act, the SEC promulgated new rules to facilitate capital formation. While these new rules enhance opportunities to raise capital, they create certain obstacles and pitfalls, and they do not eliminate the traditional methods in which companies have sought capital. This material will explore capital raising techniques authorized by the JOBS Act and also examine the interplay between these techniques and the traditional methods of capital formation which continue, for many small and mid-size companies, to be the preferred way of seeking capital. The effects of the JOBS Act on public company requirements and the issues raised by the current COVID-19 pandemic will also be discussed.

Learning Objectives

  • You will be able to discuss how to utilize SEC Rule 506(c).
  • You will be able to explain key elements of the crowdfunding regulation.
  • You will be able to recognize the interplay between the changes put in place by the JOBS Act and the traditional methods of capital formation.
  • You will be able to identify the two types of Regulation A offers.

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Why Lorman?

Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Traditional Private Placements Are Alive and Well
  • Common Pre-JOBS Act Exemptions From Registration
  • Regulation D – Rule 506
  • Disclosure
  • General Advertising and Public Solicitation Prohibited
  • Integration of Offers
  • How Do You Lose the Exemption?
  • Resales of Restricted Securities
The JOBS Act – General Solicitation Now Permitted
  • SEC Rule 506(c) – How Often Used?
  • The Challenge of Verifying Accredited Investor Status
  • Rule 506(c) Does Not Eliminate the Traditional Private Placement
The JOBS Act – Crowdfunding
  • Section 4(a)(6) of the Securities Act
  • SEC Regulation Crowdfunding Rules
  • Key Elements of the Crowdfunding Rules
New Approaches to Capital by Emerging Growth Companies
  • Emerging Growth Company Defined
  • Enhanced Public Offering Process
  • Reduced Compliance Obligations
Other Issues of Note
  • Regulation A Offers
  • Registration and Deregistration for Public Companies
  • The Effect of COVID-19 in Capital Formation
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More Program Information

Why Lorman?

Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Course

This course was last revised on March 12, 2014.

Call 1-866-352-9540 for further credit information.

This program does NOT qualify, nor meet the National Standard for NASBA accreditation.

Live Webinar Registration

  • AIPB 2.0
     
  • This program is acceptable for 2.0 CPEC(s) towards the CB designation through the American Institute of Professional Bookkeepers (AIPB).
     
  • AL CLE 1.7
     
  • This course or a portion thereof has been approved by the Alabama State Mandatory Continuing Legal Education Commission for a maximum of 1.7 hours credit.
     
  • AR CLE 1.5
     
  • This course has been approved for 1.5 hours of CLE by the Arkansas CLE Board.
     
  • Arizona CLE 1.5
     
  • The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. This activity may qualify for up to 1.5 hours toward your annual CLE requirement for the State Bar of Arizona.
     
  • CA MCLE 1.5
     
  • Lorman Business Center, LLC. is a State Bar of California approved MCLE sponsor and this course qualifies for 1.5 CLE hours of participatory credit.
     
  • CT CLE 1.5
     
  • Neither the Connecticut Judicial Branch nor the Commission on Minimum Continuing Legal Education approve or accredit CLE providers or activities. This course has been approved for CLE credit in jurisdictions aside from CT and therefore it automatically meets the content and delivery requirements in Connecticut. Credit is based on a 60 minute credit hour and shall be awarded as follows: 1.5 CLE credit(s).
     
  • HI CLE 1.5
     
  • This program was approved by the Hawaii State Board of Continuing Legal Education for 1.5 CLE credit hours.
     
  • IL CLE 1.5
     
  • This course was approved for a total of 1.5 hours of MCLE Credit by the Illinois MCLE Board.
     
  • ME CLE 1.5
     
  • This course has been approved by the State of Maine Board of Overseers of the Bar. Lawyers who complete this course shall receive 1.5 hours of CLE credit under M. Bar R. 12.
     
  • NH MCLE 1.7
     
  • NH MCLE does not approve or accredit CLE activities for the NH Minimum CLE requirement. Lorman Education Services believes this course meets the requirement of NH Supreme Court Rule 53 and may qualify for CLE credit(s). Program Length: 100 Minutes.
     
  • NJ CLE 2.0
     
  • This program has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 2.0 hours of total CLE credit.
     
  • PA CLE 1.5
     
  • This Distance Learning program has been approved by the Pennsylvania Continuing Legal Education Board for 1.5 hours of substantive law, practice and procedure CLE credit.
     
  • RI CLE 2.0
     
  • This program has been approved by the Rhode Island Mandatory Continuing Legal Education Commission for 2.0 hours of CLE credit.
     
  • VT CLE 1.5
     
  • This program has been approved by the Mandatory Continuing Legal Education Board of Vermont for 1.5 hours of CLE credit.
     
  • WI CLE 2.0
     
  • This program has been approved by the Board of Bar Examiners for 2.0 hours for use toward the Wisconsin Mandatory CLE requirement.
     
  • WV MCLE 2.0
     
  • This program has been approved by the West Virginia State Bar MCLE Commission for 2.0 MCLE hours.
     
  • CPE 2.0 including Finance 2
     
  • Lorman Education Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site: https://www.nasbaregistry.org/cpas/complaints. For more information regarding administrative policies such as complaint and refund, please contact our offices at 866-352-9539. CPE Credit: Maximum Credit Hours: 2.0 each session (based on a 50 minute credit hour). You must attend at least 50 minutes to obtain credit. Field of Study: Finance for 2.0 hours. Prerequisite: . Level of Knowledge: Intermediate. Teaching Method: Seminar/Lecture. Advance Preparation: None. Delivery Method: Group Internet Based. Please refer to the information in this brochure for outline, course content and objectives. Upon completion of this course, you will receive a certificate of attendance. Final approval of a course for CPE credit belongs with each state's regulatory board. Please note: In order to receive CPE credit for this course you MUST use the streaming audio option, as well as enable and complete the required progress checks.
     

Who should attend?

This live webinar is designed for accountants, CPAs, CEOs, presidents, vice presidents, CFOs, controllers, business owners and managers, bookkeepers, tax, managers, tax preparers, finance executives and attorneys.

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Why Lorman?

Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Michael D. Waters

Michael D. Waters

Jones Walker LLP

  • Partner in the Birmingham, Alabama office of Jones Walker LLP
  • Practiced in the corporate and securities area, primarily for financial institutions, for more than 35 years, representing banks, bank holding companies, and other financial entities in acquisitions, capital raising transactions, SEC and shareholder issues, new bank formations, and board fiduciary duty issues
  • Advised buyers and sellers in approximately 110 bank mergers and acquisitions, ranging from small community banks to the acquisition of a $34 billion holding company
  • Recognized in Chambers USA, banking and finance annually since 2013
  • Recognized by Alabama Super Lawyers annually since 2008 for work in the banking and securities & corporate finance area
  • Named by Best Lawyers in America annually since 1995 for work in the area of banking and finance law, corporate law, and financial services regulation law
  • J.D. degree, University of Alabama School of Law; M.A. degree, Rhodes Scholar, Oxford University; B.A. degree, Duke University
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More Program Information

Why Lorman?

Over 33 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

All of your training, right here at Lorman.

Pay once and get a full year of unlimited training in any format, any time!

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  • State Specific Credit Tracker
  • Members Only Newsletter
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Questions? Call 877-296-2169 to speak with a real person.

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Product ID: 407438
Published 2014, 2021
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