Ensure blue sky compliance by gaining the necessary skills you need to completely and accurately file.
Blue sky compliance is not just about filling out a form. Blue sky compliance requires the skill set to be able to recognize and understand the issues, research the complexities involved, obtain all relevant factual information from a variety of sources, compile all such information, and to accurately and completely prepare and file any and all requisite filings within a relatively short prescribed time period. Any missteps, including not properly recognizing and analyzing the issues, can have draconian effects. This topic will help you when dealing with securities matters, to understand the blue sky laws, the complexities involved, and to assist you in acquiring the requisite skill set to ensure blue sky compliance.
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Why Lorman?
Over 34 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
What Is Blue Sky?
- Federal and State Regulation of Securities Laws
- Federal Pre-Emption
Blue Sky Analysis/Research
- Starting Points
- Questions to Ask
- How to Research
Reg D Offerings
- How to Complete Form D
- Filing Pointers
- Common Pitfalls
Blue Sky Issues
- Private and Public Offerings
- Broker-Dealers/Advisers
- Rescission Rights
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Why Lorman?
Over 34 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 December 19, 2017.
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 34 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
Alan H. Aronson
Akerman LLP
- Partner with Akerman LLP
- More than 35 years of experience representing clients in public and private securities transactions, mergers and acquisitions, venture capital transactions, advising broker-dealers and investment advisors, and providing counsel on corporate governance and compliance matters
- Inaugural and past chair of the Dade County Bar Association’s Business Law Committee, a past chair of the Corporations, Securities and Financial Services Committee of The Florida Bar’s Business Law Section
- Served on The Florida Board of Bar Examiners by appointment of the Supreme Court of the State of Florida
- Frequent lecturer on securities and corporate topics and is a contributing writer to numerous publications
- Named in Florida Trend’s Legal Elite; The Best Lawyers in America, 2011 to 2014, securities law; Super Lawyers magazine, 2011 to 2014; and was selected as the 2008 and 2011 Member of the Year for The Florida Bar’s Business Law Section
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Why Lorman?
Over 34 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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- State Specific Credit Tracker
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