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OnDemand Course

Avoiding Potential Pitfalls of Raising Capital

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 has promulgated new rules to facilitate capital formation. While these new rules will 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 on-demand webinar will explore not only the new capital raising techniques authorized by the JOBS Act but it will also examine the interplay between the new techniques and the traditional methods of capital formation which may 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 will also be discussed.

Learning Objectives:

  • You will be able to define the new SEC rule 506(c).
  • You will be able to explain key elements of the crowdfunding proposal.
  • You will be able to review emerging growth company defined.
  • You will be able to identify new regulation A offers.

Runtime: 99 minutes
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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

  • New SEC Rule 506(C)
  • The Challenge of Verifying "Accredited Investor Status"
  • Rule 506(C) Does Not Eliminate the Traditional Private Placement

The JOBS Act - Crowdfunding

  • New Section 4(a)(6) of the Securities Act
  • Proposed SEC Crowdfunding Rules
  • Key Elements of the Crowdfunding Proposal

New Approaches to Capital by "Emerging Growth Companies"

  • Emerging Growth Company" Defined
  • Enhanced Public Offering Process
  • Reduced Compliance Obligations

Other Issues of Note

  • New Regulation a Offers
  • Registration and Deregistration for Public Companies
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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.

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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 securities law for 38 years, representing companies in IPOs, and public companies in secondary offerings, mergers and acquisitions, proxy solicitations, annual and periodic reporting, and exempt offerings
  • Advised buyers and sellers in approximately 110 bank acquisitions, ranging from small community banks to the acquisition of a $34 billion institution
  • Adjunct professor of law at the University of Alabama Law School where he taught banking law for 20 years and has taught mergers and acquisitions for the last 25 years
  • Speaks at seminars on a variety of topics involving corporate, securities and bank regulatory issues, and is author of Proxy Regulation, a book published by the Practising Law Institute in New York in 1992 as part of its series on corporate and securities law
  • Served as legal advisor to Governor Fob James of Alabama, 1979-1980
  • Listed in Chambers USA, Alabama Super Lawyers, The Best Lawyers in America, and the Birmingham Magazine, Top Attorneys
  • 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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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.

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

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Product ID: 392540
Published 2014
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