Live Webcast/Rebroadcast – You watch the course online at the specified date and time shown below. You can ask questions and receive answers during the course.
On-Demand – You watch the course anytime and will have access to the course 24/7. Our On-Demand courses are available within 5-10 business days after the original recording and accessible for one year.
This program was recorded on September 1, 2020
Learn to confidently navigate the often murky waters of securities law to be able to effectively advise your clients who are raising capital. This course provides a solid overview of the federal and state securities law regulatory landscape and a practical understanding of key private offering registration exemptions (e.g., Regulation A, Regulation D Rule 506(b), and the more recent Regulation CF (Crowdfunding) under the JOBS Act). This course will also help you determine the documentation and disclosure you need to protect your clients and yourself.
I have been out of law school for almost two decades. Just over half that time, I have been a lawyer (what the state bars call “primarily engaged in the practice of law”). The other slightly less than half the time, I (a) started, grew and sold a residential mortgage brokerage; (b) started, grew and shuttered a chemical company; and (c) worked as a corporate development executive and venture capitalist in Silicon Valley during Dotcom 1.0. So, I’ve done a few different things. I often describe myself as a businessman trapped in a lawyer’s body.
3 General Credits
ProLawCLE will seek approval of any CLE program where the registering attorney is primarily licensed with exceptions stated below. Application is made at the time an attorney registers for a course, therefore approval may not be received at the time of broadcasting.
ProLawCLE does not seek approval in the state of Virginia.
Each state has its own governing rules and regulations with regards to CLE courses and formats, therefore please contact your state MCLE regulatory entity for further details about your state’s rules. Please visit our State Requirements page for information regarding your state’s CLE requirements and/or contact information for your state bar.
As stated in our Reciprocity Provision, ProLawCLE will grant credit in the following states through reciprocity, therefore direct application will not be made in these states:
AK, AR, CO, FL, ME, MT, ND, NH, NJ, NY, and PR.
ProLawCLE is dedicated to providing quality education from expert speakers and ensuring each attorney receives CLE credit for their participation. If for some reason a particular course does not receive approval in the attorney’s primary state of licensure, ProLawCLE will give credit for a future approved course or give a full refund, if applicable.
Each On-Demand course is available to you for 1 year from date of purchase. Additionally, CLE credit is only available within that year.
- What is a “security?”
- Overview of the U.S. securities regulatory landscape
- The Securities Act of 1933 and other federal securities laws
- State “Blue Sky” laws, including the interplay between them and federal securities laws
- Regulation of private and public offerings
- The lawyer’s role in securities offerings, including tips for advising clients who are issuing securities
- Key private offering exemptions, including Regulation A, Regulation D Rule 506(b), and Regulation CF
- Disclosure and documentation requirements, including when you need a Private Placement Memorandum (PPM)