eCourse
Impact of the JOBS Act: Public vs. Private Offerings, Advertising, Angel Networks, Capital Raising, plus Registration, Deregistration and Suspension Reporting
Contains material from Feb 2014
Impact of the JOBS Act: Public vs. Private Offerings, Advertising, Angel Networks, Capital Raising, plus Registration, Deregistration and Suspension Reporting
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This was pretty compact, detailed and intense with only a few slides and no picture to help follow. I thought there were papers when I signed up and the speakers talked about tabs in their binders...alas one single paper in the group
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Session 1: Death of the Private Offering - What are "private" vs. "public" offerings? A case study re-creation of what used to be called a "private" offering, with discussion of all of the issues brought into play by the JOBS Act legislation. What are the requirements under and how do they now work with new federal law? The appropriate content of advertisements should you decide to use them, and must advertisements be pre-approved? How the new federal Rule 506(c) works. Is there still a completely "private" way to conduct an offering and under what restrictions does it operate? How might angel networks make use of the new Rule 506(c)? How will brokers or other intermediaries be able to help issuers under new Rule 506(c)? What about all of the other requirements of a traditional "private" offering? How have they changed, if at all? The panel also discusses efforts afoot to change the balance between federal and state law on a number of issues in these offerings.
Session 2: Advertising Rules? Oh Yea! Bad Boys, Bad Boys, What You Going to Do? - FINRA and other advertising rules and bad boy provisions.
Session 3: Finders and Angels and Angel Networks
Session 4: Access to Capital by Non-Exchange Traded Companies: New Opportunities
Session 5: Stepping On and Off the Conveyor Belt: The Impact of the JOBS Act on Exchange Act Registration, Deregistration and Suspension Reporting - A focus on the new headcount rules to register and deregister under Section 12(g) and to suspend reporting under Section 15(d). New headcount rules for employee compensation plans and the impact of these changes on "Going Dark" are also addressed.
Session 2: Advertising Rules? Oh Yea! Bad Boys, Bad Boys, What You Going to Do? - FINRA and other advertising rules and bad boy provisions.
Session 3: Finders and Angels and Angel Networks
Session 4: Access to Capital by Non-Exchange Traded Companies: New Opportunities
Session 5: Stepping On and Off the Conveyor Belt: The Impact of the JOBS Act on Exchange Act Registration, Deregistration and Suspension Reporting - A focus on the new headcount rules to register and deregister under Section 12(g) and to suspend reporting under Section 15(d). New headcount rules for employee compensation plans and the impact of these changes on "Going Dark" are also addressed.
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1.
Death of the Private Offering (Feb 2014)
Benette L. Zivley Esq., Marty Dunn, Marshall M. Gandy, Gerald J. Laporte, Carol Bavousett Mattick, John C. Rutherford
1.00
0.00
0.00
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Slides
(pdf)
16 pgs
Session 1
—58 mins
Death of the Private Offering (Feb 2014)
What are "private" vs. "public" offerings? A case study re-creation of what used to be called a "private" offering, with discussion of all of the issues brought into play by the JOBS Act legislation. What are the requirements under and how do they now work with new federal law? The appropriate content of advertisements should you decide to use them, and must advertisements be pre-approved? How the new federal Rule 506(c) works. Is there still a completely "private" way to conduct an offering and under what restrictions does it operate? How might angel networks make use of the new Rule 506(c)? How will brokers or other intermediaries be able to help issuers under new Rule 506(c)? What about all of the other requirements of a traditional "private" offering? How have they changed, if at all? The panel also discusses efforts afoot to change the balance between federal and state law on a number of issues in these offerings.
Originally presented: Feb 2014 Securities Regulation and Business Law
Benette L. Zivley Esq.,
Attorney at Law - Pflugerville, TX
Marty Dunn,
Morrison & Foerster LLP - Washington, DC
Marshall M. Gandy,
U.S. Securities and Exchange Commission - Fort Worth, TX
Gerald J. Laporte,
Securities Regulation Consultant - Arlington, VA
Carol Bavousett Mattick,
Attorney at Law - San Antonio, TX
John C. Rutherford,
Winstead PC - Dallas, TX
Show session details
2.
Advertising Rules? Oh Yea! Bad Boys, Bad Boys, What You Going to Do? (Feb 2014)
John R. Fahy, Gerald J. Laporte
0.50
0.00
0.00
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Download session materials for offline use
Slides
(pdf)
11 pgs
Slides
(pdf)
12 pgs
Session 2
—29 mins
Advertising Rules? Oh Yea! Bad Boys, Bad Boys, What You Going to Do? (Feb 2014)
FINRA and other advertising rules and bad boy provisions.
Originally presented: Feb 2014 Securities Regulation and Business Law
John R. Fahy,
Whitaker Chalk Swindle & Schwartz PLLC - Fort Worth, TX
Gerald J. Laporte,
Securities Regulation Consultant - Arlington, VA
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3.
Finders and Angels and Angel Networks (Feb 2014)
Carol Bavousett Mattick, John A. Reyes II
0.50
0.00
0.00
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Download session materials for offline use
Slides
(pdf)
3 pgs
Session 3
—30 mins
Finders and Angels and Angel Networks (Feb 2014)
Originally presented: Feb 2014 Securities Regulation and Business Law
Carol Bavousett Mattick,
Attorney at Law - San Antonio, TX
John A. Reyes II,
Baird, Crews, Schiller & Whitaker, P.C. - Waco, TX
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4.
Access to Capital by Non-Exchange Traded Companies: New Opportunities (Feb 2014)
Daniel Zinn
0.75
0.00
0.00
Session 4
—39 mins
Access to Capital by Non-Exchange Traded Companies: New Opportunities (Feb 2014)
Originally presented: Feb 2014 Securities Regulation and Business Law
Daniel Zinn,
OTC Markets Group Inc. - New York, NY
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5.
Stepping On and Off the Conveyor Belt: The Impact of the JOBS Act on Exchange Act Registration, Deregistration and Suspension Reporting (Feb 2014)
J. Rowland Cook
0.50
0.00
0.00
Session 5
—29 mins
Stepping On and Off the Conveyor Belt: The Impact of the JOBS Act on Exchange Act Registration, Deregistration and Suspension Reporting (Feb 2014)
A focus on the new headcount rules to register and deregister under Section 12(g) and to suspend reporting under Section 15(d). New headcount rules for employee compensation plans and the impact of these changes on "Going Dark" are also addressed.
Originally presented: Feb 2014 Securities Regulation and Business Law
J. Rowland Cook,
Winstead PC - Austin, TX