Description
Expand your knowledge and grow your network by joining us in Scottsdale to stay current on the rules governing exempt offerings, as well as current market practice, as exempt securities offerings continue to expand their dominance in capital-raising over registered offerings in all areas. Hear and interact with distinguished faculty, including current and former SEC and state officials, and experienced and knowledgeable practitioners, for a detailed review of the current regulatory landscape and practical advice on the conduct of exempt offerings as enforcement activity continues to heat up in the SEC, FINRA, and the states.
Topics include:
• Overview and Approach to the Program and Conceptual, Statutory, Regulatory Background, and Developments
- How exempt offerings fit into the structure of the federal and state securities laws and the regulatory issues presented; investor protection v. capital formation; the evolution of the key concepts and underlying principles in private placement law and lore; the inherent challenges of private offerings: marketing, investor qualifications, disclosure, liquidity and resale, exchange listing; private v. public companies (“unicorns”) in the capital markets; the current dominance of Regulation D in capital raising.