The SEC’s Regulation A+: What You Need to Know
The Knowledge Group is producing a LIVE Webcast that will help auditors, financial statement preparers, insurers and companies to better manage and understand the fundamentals of the Securities and Exchange Commission’s (SEC) Regulation A+, known as the modernized Securities Offering Exemptions Rules. This interactive course will provide note-worthy information regarding the dos and don’ts of the updated legislation. The panel of thought leaders and professionals will offer the audience with an in-depth discussion of the remarkable developments of this significant topic.
Key topics include:
- An Overview of Regulation A+ Rules
- Regulation A+ "two-tiered" Offering Exemptions
- Investment Restrictions
- Effects to Tier I and II Issuers
- Regulation A+ Reporting Requirements
- Scopes and Limitations of Regulation A+
- State Securities Law Requirements
- Effects of Regulation A+ to IPOs
- Financial Information Included in the Offering Statement
- Non-Financial Information Included in the Offering Statement
- Identifying Eligible Auditors
- Barriers to executing a Reg A+ Offering
- How to List and Trade a Reg A+ Offering on the Public Markets
Aaron A. O'Brien, Attorney
- JOBS Act and the Development of a New Regulation A+
- JOBS Act and the New Regulation A+
- Relying on the New Regulation A+
- Battle of the Offering Exemptions
- Take-Aways & Conclusion
Esuga T. Abaya, Attorney
Pepper Hamilton LLP
- Legacy Reg A: understanding the old regime and why it changed
- Reg A+: What are the significant changes from the prior rules
- Reg A+ in practice: what to watch for when filing under the new rules
Mark Elenowitz, CEO
- Title IV Reg A +, how does that change funding opportunities for small cap companies
- Reg A+ can get thru the SEC but how does the issuer trade?
- I invested in a Reg A+ Deal but how can I exit? Why can’t I deposit my stock?
Who Should Attend:
- Financial Statement Preparers
- Users of Financial Statements
- Multinational Companies
- Private and Public Companies
- Other Related/Interested Professionals and Organizations
Aaron A. O'BRIEN assists private and publicly-traded clients engaging in mergers, acquisitions, joint ventures, capital financing, and other key strategic corporate transactional plays. A substantial part of Aaron's practice focuses on the representation of early stage, middle-market, and publicly-traded companies in the financial services industry, including virtual currency platforms, broker-dealers, investment advisers, alternative trading systems (ATSs), and exchanges. He represents clients before state securities divisions, the SEC, FINRA, and FinCEN. Clients turn to him for advice in the capital formation process, specifically for assistance with and thoughtful guidance in conducting private placements of securities in compliance with federal and state securities laws. Aaron is well informed with respect to developments in SEC rules and regulations affecting clients, such as Rule 506 and the JOBS Act. Aaron writes and speaks frequently on the topic of crowdfunding and structuring capital raising initiatives. He most recently published an article on Bitcoin called “The Real Regulation of Cryptocurrency.”
Aaron A. O'BRIEN assists private and publicly-traded clients engaging in mergers, acquisitions, joint ventures, capital financing, and other key strategic …
Esuga T. Abaya is an associate with Pepper Hamilton LLP, resident in thePhiladelphia office. He is a member of the firm’s Corporate and SecuritiesPractice Group, with experience in a variety of transactions and corporatefinance matters, including experience in the peer-to-peer lending space.
Esuga T. Abaya is an associate with Pepper Hamilton LLP, resident in thePhiladelphia office. He is a member of the …
Mark H. Elenowitz, CEO and Founder of BANQ (www.banq.co), a newly launched division of TriPoint Global Equities, LLC (www.tripointglobalequities.com) , is an electronic investment banking platform that will streamline the matching of accredited investors with quality growth companies and alternative investment opportunities. BANQ provides accredited investors access to exciting companies with exposure to rapidly growing sectors and new technologies. BANQ takes the entire public and private offering process digital and online, providing access to U.S. opportunities and offerings in the U.S. markets. BANQ widely markets its offerings utilizing the new general solicitation and advertising rules promulgated by the U.S. Securities & Exchange Commission, in response to the passage of the JOBS Act of 2012. Mr. Elenowitz is responsible for the overall corporate development of TriPoint and BANQ, advising clients on structuring, financings and acquisitions. He has extensive experience in advising clients on governance, compliance, and capital markets navigation including acting as a member of the board of directors. He has worked with numerous public and private companies. Mr. Elenowitz integrates a strong, successful entrepreneurial background with extensive financial services and capital markets experience. He has assisted numerous companies in a "soup-to-nuts" process, preparing them for life as a public company and advising them on an ongoing basis as to further rounds of financing, strategic acquisitions and a broader investor base via a listing on a higher securities exchange or market. He is an expert in capital markets investigative analysis of trading activity, short selling and market activity providing investigative services for Board of Directors, Special Committees and public companies. Mr. Elenowitz also serves as an expert witness in FINRA arbitrations and court actions. Mr. Elenowitz is also Managing Director of TriPoint Capital Advisors, LLC, a merchant banking and financial consulting affiliate of TriPoint Global Equities. He is the recipient of several entrepreneurial awards and has been profiled in BusinessWeek and CNBC, as well as several other publications. He is a graduate of the University of Maryland School of Business and Management with a B.S. in Finance. He holds Series 24, 62, 63, 79, 82 and 99 licenses.
Mark H. Elenowitz, CEO and Founder of BANQ (www.banq.co), a newly launched division of TriPoint Global Equities, LLC (www.tripointglobalequities.com) , …
Print and review course materials
Method of Presentation:
On-demand Webcast (CLE)
NASBA Field of Study:
NY Category of CLE Credit:
Areas of Professional Practice
2.0 CPE (Not eligible for QAS (On-demand) CPE credits)
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One of the nation’s leading law firms, BakerHostetler has been successfully helping clients grow and protect their businesses in challenging environments for nearly 100 years. With five core national practice groups – Litigation, Business, Employment, Intellectual Property, and Tax, the firm has 930 lawyers coast to coast. The firm provides a breadth of experience and expertise to effectively and creatively address its clients’ most complicated legal matters. The Emerging Company team, located within the Business group, works closely with clients to address the issues that emerging companies encounter in their startup and growth phases, including intellectual property, e-commerce, privacy and data protection, financing, and corporate governance.
Baker Hostetler was founded on three core principles: to develop and sustain mutually beneficial, long-term relationships with each of its clients; to provide timely, responsive, and high quality legal services; and to be generous with both time and money in its communities. For more information, visit www.bakerlaw.com.
About Pepper Hamilton LLP
Pepper Hamilton LLP is a multi-practice law firm with more than 500 lawyers nationally. The form provides corporate, litigation and regulatory legal services to leading business, governmental entities, nonprofit organizations and individuals throughout the nation and the world. The firm has grown from a two-person law offices formed in 1890 in Philadelphia to a sophisticated, large law firm with a national and international practice. While much about Pepper Hamilton is new and different from its beginnings, it retains traditional values passed down through the decades: respect for the rule of law, pride in an excellent work product and commitment to the client’s cause. Today, Pepper Hamilton is a diverse firm of men and women from a broad spectrum of backgrounds, united in these values.
BANQ® is a division of TriPoint Global Equities, LLC (“TriPoint”), a FINRA member firm, a boutique investment bank, with corporate finance and sales and trading services. TriPoint focuses on providing U.S. and non-U.S. companies of up to $500 million in revenue with capital raising, corporate finance advisory services and assistance with navigating the regulatory environment for companies listing on U.S. markets. TriPoint maintains specialized practices in institutional private placements, sales and trading, research, mergers and acquisitions, and corporate finance. TriPoint has offices in New York City, Jericho, NY, Akron, OH, Beijing China and Washington, D.C. For more information, please visit https://banq.co, https://www.tripointglobalequities.com.