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:
• Potpourri (According to Audience Questions) – Mechanics and How-To’s, Continued; Contingency Offerings and Compliance with Rules 10b-9 and 15c2-4; Rescission Offers; Enforcement Initiatives; Foreign Offerings Under Regulation S; Structuring Legal Fees; Use of “Term Sheets” in Offerings; “Free” or Incentive Shares; Commentary on Developments and Anticipated Issues; Regulatory and Enforcement Agendas; Questions and Answers