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:
• State Securities Law and NASAA Regulatory Priorities; Enforcement Initiatives and Experience in the States
• The Mechanics of an Exempt Offering and How-To’s
- Finding institutional, angel, and individual investors; finding and engaging investment bankers, structuring the offering; selecting the appropriate exemption; preparing disclosure and marketing documents; identifying and drafting risk factors; evaluating materiality; road shows; forward-looking statements and projections; disclosure practices in all-accredited offerings; subscription agreements; reporting obligations; the SEC “Capital Raising Navigator.”