IPOs, Private Placements and Crowdfunding: The Evolving Legal Landscape around the JOBS Act
Overview:This program will examine the IPO onramp (JOBS Act Title I), advertised private placement rules (JOBS Act Title II) including bad actor disqualification, and review the current crowdfunding and unregistered offering landscape (Crowdfunding and Regulation A+ - JOBS Act Titles III and IV).
The program will also:
- review the state of SEC and FINRA rulemaking efforts
- give practical suggestions for navigating the landscape
- explore states’ efforts to craft their own legislation under the intrastate offering exemption
- discuss peer-to-peer lending
- New IPO rules
- how it affects issues with Sarbox, delayed adoption of new accounting pronouncements
- Legal aspects of private placement rules
- Peer to peer issues
Who Should Attend:
- CFOs, Finance Executives, General Counsel, Compliance Officers and Related from Investment, Finance and Similar Companies
- Investment, M&A, Securities, Capital Markets Attorneys and Consultants
- Controllers, CPAs
- Attorneys with Related Practice Areas
- Senior Financial Professionals
Brian Korn is a corporate and securities attorney at the law firm Pepper Hamilton LLP. Brian has had multiple appearances on Fox Business Television, Bloomberg, CCTV America and National Public Radio as an expert on the JOBS Act, including its impact on crowdfunding, peer-to-peer lending, IPOs and market trading dynamics. He was also published or quoted in Forbes, CNBC, MSNBC, New York Law Journal, Law360, Philadelphia Inquirer, Pittsburgh Post-Gazette, The Financier Worldwide and The Review of Securities & Commodities Regulation.
He is the author of several articles on capital raising and investor liquidity, and has several clients in the peer-to-peer lending space. Brian is the author of “The Trouble with Crowdfunding” published in Forbes, as well as the Forbes article announcing the SEC’s crowdfunding rules proposal. Prior to joining Pepper, Brian was Head of Equity Capital Markets and Syndicate Compliance at Barclays and was Senior Vice President and Assistant General Counsel for Citigroup Global Markets Inc. Brian is an honors graduate of the University of California at Berkeley and the Northwestern University School of Law.
Brian Korn is a corporate and securities attorney at the law firm Pepper Hamilton LLP. Brian has had multiple appearances …
Phillip Laycock, CPA is an Audit Partner at Grassi & Co., with over two decades of experience in accounting, auditing and business consulting. Phil is also the Partner in Charge of the firm’s Crowdfunding Initiative. He recently led a team in submitting a 35-page comment letter to the SEC concerning proposed crowd funding regulations and has been quoted in and written numerous articles on the subject.
Phillip Laycock, CPA is an Audit Partner at Grassi & Co., with over two decades of experience in accounting, auditing …
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Method of Presentation:
NASBA Field of Study:
Specialized Knowledge and Applications
NY Category of CLE Credit:
Areas of Professional Practice
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About Pepper Hamilton LLP
Pepper Hamilton LLP is a multi-practice law firm with more than 500 lawyers nationally. The firm provides corporate, litigation and regulatory legal services to leading businesses, governmental entities, nonprofit organizations and individuals throughout the nation and the world. Pepper’s Funds Services Group is composed of more than 50 lawyers from multiple and diverse practice areas. With judgment honed from representing hundreds of pooled investment vehicles over more than two decades, we have helped both U.S. and international funds and their sponsors, managers, advisers and investors define and achieve their goals.
The Funds Services Group is a core component of the firm’s Investment Funds Industry Group, which is an interdisciplinary industry group comprised of more than 60 lawyers nationwide who focus their practices in areas vital to the success of all types of investment funds throughout their entire life cycle, including with respect to formation, transactional and investment, operational, and regulatory and compliance matters.
About Grassi & Co.
Grassi & Co. is a premier professional service firm specializing in accounting, auditing, tax, technology, and business consulting services in various industries, including healthcare, and has offices in Manhattan and Long Island, NY. The firm has been ranked among the Top 100 largest firms in the U.S. by both INSIDE Public Accounting and Accounting Today, the Top 20 largest firms in the NY Metropolitan area by Crain’s New York Business.