The SEC’s Regulation A+: Updates & Developments in 2016
In June 2015, the Securities & Exchange Commission’s (SEC's) Regulation A+ took effect, allowing medium sized companies a streamlined process to raise money from investors. After a year of implementation, Regulation A+ was able to provide a workable exemption for notable prior and upcoming offerings and was utilized in the crowdfunding industry.
In this LIVE Webcast, a panel of thought leaders and professionals assembled by The Knowledge Group will provide the audience with an in-depth analysis of the recent developments in the SEC’s Regulation A+. Speakers will also present their expert thoughts and opinions with regard to this remarkable topic.
Key topics include:
- Chronological overview from old to new
- A few different well known scenarios
- Best candidates for this / worst candidates for this
- What’s gone on thus far
- Working through investment banks or self-filings?
Barry I. Grossman, Partner
Ellenoff Grossman & Schole LLP
- A Little History
- Regulation A+ Limits
- Testing the Waters
- Freely Trading Securities
- Reporting Requirements
- Regulation A is a Viable Path to Becoming Exchange Listed
- Previous Reporting Companies Can Use Regulation A
- Only U.S. and Canadian Issuers May Sell Securities Under Regulation A
- State Securities Law Are Preempted in a Tier 2 Offering
- PCAOB Audit Firms are Necessary As A Practical Matter
- An Issuer May Conduct An Ongoing Regulation A Offering
- An Issuer Can “Build A Bridge” To its Regulation A Offering
Andrea Cataneo, Partner
Sichenzia Ross Friedman Ference, LLP
- Old Reg A: It was time for change
- General Solicitation & Testing the Waters
- Filing Status reveals under utilization of Testing the Waters
- The Secondary Market
- Blue Sky Regulations
- Elio Motors, Inc.
- 8Tracks. Inc
- XTI Aircraft Co.
- Fundrise eReits
- Industries Embracing Reg A+
- Who Succeeds?
- Who Fails?
- Selected Platforms
- Some Takeaways...
Who Should Attend:
- Financial Statement Preparers
- Investment Bankers
- Financial Advisers
- Users of Financial Statements
- Venture Capitalists
- Multinational Companies
- Private and Public Companies
- Other Related/Interested Professionals and Organizations
Andrea Cataneo is a deal-focused, corporate and securities attorney and partner with Sichenzia Ross Friedman Ference for over 12 years, where she has been helping private and public companies achieve their growth objectives. Andrea structures secured and unsecured private equity financing transactions for microcap companies, and takes companies public via self-registration statements, mergers into operating or dormant public entities and IPOs. Additionally, through her extensive relationships in the investment banking community, Andrea offers her clients introductions to targeted sources of capital. She represents publicly-held companies with their 1934 Act reporting obligations to the SEC, as well as with NASDAQ, NYSE-MKT and other exchange listing and compliance matters, and private companies in capital formation matters (Regulation A+ and Regulation D private offerings). Andrea has access to various types of public entity vehicles that are seeking merger candidates and business combinations. Her practice covers domestic and international transactions, and she has been active in Argentina, Canada, China, India, Italy, Kenya, Korea and Russia.
Prior to joining the firm, Andrea founded and ran a private practice concentrating in the areas of Securities Law, Corporate Finance, General Corporate Law, Mergers and Acquisitions and Entertainment Law. Previously, she served as General Counsel to Power Station Entertainment, Inc. and the highly acclaimed Power Station Recording Studio.
Andrea Cataneo is a deal-focused, corporate and securities attorney and partner with Sichenzia Ross Friedman Ference for over 12 years, …
Barry I. Grossman, a member of Ellenoff Grossman & Schole LLP since its founding in 1992, is a corporate/tax attorney who specializes in business transactions as well as tax matters. Mr. Grossman's practice focuses on representing public and private companies, foreign companies raising money in the United States, investment banks and financing activities as well as general corporate matters. Mr. Grossman's transactional experience includes public and private financings, structuring sales and acquisitions of companies, mergers and reorganizations, and organizing partnerships and limited liability companies. He has been involved in numerous public offerings (including SPACs), reverse mergers (for domestic and foreign, mainly Chinese, companies) and private placements, many into public companies (commonly referred to as PIPEs). Mr. Grossman's clients include bio-tech companies, software developers, FINRA registered broker/dealers and other companies involved in the financial sector, companies involved in homeland defense, SPACs, mining companies, real estate developers, manufacturing companies, and a number of small businesses.
Barry I. Grossman, a member of Ellenoff Grossman & Schole LLP since its founding in 1992, is a corporate/tax attorney …
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About Sichenzia Ross Friedman Ference LLP
Sichenzia Ross Friedman Ference LLP (“SRFF”) provides experienced, professional representation in all matters involving the securities industry, as well as in all general corporate and litigation matters.
Our clients range from start-ups to established, listed companies. They include public and private corporations, partnerships, broker-dealers, investment banks, investment advisors, registered personnel, public and corporate customers and investors, and other entities. We also advise institutional investors on transactions involving complex securities laws. Our practice includes the representation of clients located in the United States and throughout the world with affiliated offices in Israel and Europe.
Our areas of expertise include corporate and commercial transactions, mergers and acquisitions, securities litigation and arbitration, administrative practice before regulatory agencies, and broker-dealer regulation. In addition, we provide guidance to Boards of Directors and corporate managers who now operate in an increasingly complex and changing landscape of securities rules, litigation risks, regulatory oversight and investor scrutiny.
About Ellenoff Grossman & Schole LLP
Ellenoff Grossman & Schole LLP is a New York City-based law firm comprised of over 65 professionals, offering its clients legal services in a broad range of business related matters. Founded in 1992, the Firm specializes in many areas of commercial law: Corporate, Securities, Real Estate, Broker-Dealer Regulation, Private Investment Funds, Intellectual Property, Litigation, Arbitration, Employment Benefits/Executive Compensation, Tax and Estate Planning.