HomeWebcastThe JOBS Act and Its Impact on Capital-Raising: 2014 Updates
 CLE

The JOBS Act and Its Impact on Capital-Raising: 2014 Updates

Live Webcast Date: Monday, September 22, 2014 from 12:00 pm to 2:00 pm (ET)
Tax, Accounting and Finance (CPE)Recording

Join us for this Knowledge Group Webinar. In this two-hour webcast, a panel of distinguished professionals and thought leaders will help small, mid-cap and large companies understand the important aspects of this significant topic. They will provide an in-depth discussion of the latest updates regarding the JOBS Act and its impact on capital raising. Speakers will also offer best practices in developing and implementing an effective capital raising strategies and ensure compliance with securities laws.

This 2-hour webcast will discuss the following key topics:

  • JOBS Act’s Impact on IPOs
  • SEC Proposed Rules on Regulation A+
  • SEC Rules on General Solicitation and Crowdfunding
  • Critical Issues and Compliance Challenges
  • Guidelines and Best Practices
  • Up-to-Minute Regulatory Updates

Agenda

SEGMENT 1:
Albert Lung, Of Counsel
Morgan, Lewis & Bockius LLP
  • The JOBS Act's positive impact on IPOs in the U.S. in the past two years has been recognized by the media and practitioners, particularly in the biotechnology markets.
  • JOBS Act has fundamentally changed the IPO process by providing key accommodations, such as confidential filings, test-the–water meetings, scaled disclosures, exemption from internal control audit, that has significantly reduced the costs and burden of IPOs.
  • The SEC has proposed new rules under JOBS Act to enhance access to capital by smaller companies, known as Regulation A+, for offerings up to $50 million.
  • If SEC adopts Regulation A+ as proposed, it may provide a viable alternative for private companies to “go public” and raise capital without the expense and delay of a tradition IPO.

SEGMENT 2:
Daniel P. Weitzel, Of Counsel
Locke Lord LLP
  • Possible impact of new Reg D section 506(c) on M&A activity
  • Impact of new Reg D section 506(c) on marketing of private placements.
  • Variety of issuers availing themselves of new Reg D section 506(c).

SEGMENT 3:
Georgia P. Quinn, Senior Associate
Seyfarth Shaw LLP
  • Crowdfunding implications and adoption pursuant to the Act. (Titles II, III and IV)
  • Proliferation of 506(c) crowdfunding platforms – opportunities and challenges
  • Due diligence challenges in complying with Rule 506(d) and 506(e) bad actor provisions.
  • Title III, Regulation C - holding pattern
  • Regulation A+ implications

Who Should Attend

  • CFOs
  • Fund Managers
  • Plan Sponsors, Fiduciaries and Participants
  • Senior Management
  • Fund Management Companies
  • Senior Investment Professionals
  • Chief Investment Officers
  • Investment Attorneys
  • Investors
  • Other Related/Interested Professionals

SEGMENT 1:
Albert Lung, Of Counsel
Morgan, Lewis & Bockius LLP
  • The JOBS Act's positive impact on IPOs in the U.S. in the past two years has been recognized by the media and practitioners, particularly in the biotechnology markets.
  • JOBS Act has fundamentally changed the IPO process by providing key accommodations, such as confidential filings, test-the–water meetings, scaled disclosures, exemption from internal control audit, that has significantly reduced the costs and burden of IPOs.
  • The SEC has proposed new rules under JOBS Act to enhance access to capital by smaller companies, known as Regulation A+, for offerings up to $50 million.
  • If SEC adopts Regulation A+ as proposed, it may provide a viable alternative for private companies to “go public” and raise capital without the expense and delay of a tradition IPO.

SEGMENT 2:
Daniel P. Weitzel, Of Counsel
Locke Lord LLP
  • Possible impact of new Reg D section 506(c) on M&A activity
  • Impact of new Reg D section 506(c) on marketing of private placements.
  • Variety of issuers availing themselves of new Reg D section 506(c).

SEGMENT 3:
Georgia P. Quinn, Senior Associate
Seyfarth Shaw LLP
  • Crowdfunding implications and adoption pursuant to the Act. (Titles II, III and IV)
  • Proliferation of 506(c) crowdfunding platforms – opportunities and challenges
  • Due diligence challenges in complying with Rule 506(d) and 506(e) bad actor provisions.
  • Title III, Regulation C - holding pattern
  • Regulation A+ implications

Albert LungOf CounselMorgan, Lewis & Bockius LLP

Albert Lung is of counsel in Morgan Lewis's Business and Finance Practice.His practice concentrates on capital market transactions, corporate governance, and securities laws. His work focuses on representing companies, investment banks, and major stakeholders in a variety of corporate finance transactions, including IPOs, follow-on and secondary offerings, PIPEs, Rule 144A offerings, and convertible debt financing. Mr. Lung also counsels publicly listed companies on corporate governance, SEC regulations, legal compliance, NYSE and NASDAQ listing requirements, investors communications, and general corporate matters. He also advises companies located in the Asia-Pacific region in cross-border financing transactions and compliance with U.S. securities laws and disclosure requirements. He has represented clients in venture financing transactions, mergers and acquisitions, and other commercial transactions for companies in a variety of industries, with a focus on representing emerging technology and life science companies in Silicon Valley.

Daniel P. WeitzelOf CounselLocke Lord LLP

Daniel P. Weitzel is of counsel in Locke Lord's Washington, D.C. office where he represents clients in corporate and securities law, focusing on mergers and acquisitions and other corporate reorganizations, private placements of both debt and equity and general corporate business planning and counseling. Mr. Weitzel has represented companies and individuals in numerous instances relating to corporate control issues and financial transactions. Furthermore, Mr. Weitzel has also represented investment banks and other entities in acquisition, divestiture and capital raising transactions.

Mr. Weitzel has been involved with many transactions of a similar nature over the years. His representation consisted of advising the client on the full spectrum of issues, negotiating the transaction, drafting all transaction documents, preparing and filing any necessary applications or notices with various agencies, assisting the client in the performance of due diligence and closing the transaction.

Mr. Weitzel also provides extensive counseling and assistance with respect to corporate governance matters, securities reporting requirements, financial institution regulatory matters and executive compensation.

Georgia P. QuinnSenior AssociateSeyfarth Shaw LLP

Georgia P. Quinn, a senior associate in the New York office of Seyfarth Shaw LLP, has spearheaded the firm’s crowdfunding initiative and is a sought after thought-leader in the crowdfunding space. Ms. Quinn has recently spoken to the Securities and Exchange and Commission , Congressional staff-members, leaders of US and UK crowdfunding portals and peer-to-peer lending platforms, the Canadian Equity Crowdfunding Alliance and has chaired a panel on crowdfunding for the ABA and presented to the Council of Development Finance Agencies, the Crowdfund Global Expo in San Diego and New York, in an international webcast for the New York State Bar Association, at the New York State Securities Bar and at the Small Business Administration Roundtable on crowdfunding in Washington DC.


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Course Level:
   Intermediate

Advance Preparation:
   Print and review course materials

Method Of Presentation:
   On-demand Webcast

Prerequisite:
   NONE

Course Code:
   144698

NASBA Field of Study:
   Specialized Knowledge and Applications

NY Category of CLE Credit:
   Skills

Total Credits:
    2.0 CLE

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About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

About the Knowledge Group

The Knowledge Group

The Knowledge Group has been a leading global provider of Continuing Education (CLE, CPE) for over 13 Years. We produce over 450 LIVE webcasts annually and have a catalog of over 4,000 on-demand courses.

Morgan Lewis provides comprehensive litigation, corporate, transactional, regulatory, intellectual property, and labor and employment legal services to clients of all sizes—from globally established industry leaders to just-conceived start-ups. We craft and execute business- and industry-specific strategies that align with today’s evolving economic and regulatory conditions, and that address the full scope of our clients’ challenges and opportunities in the courtroom, in the boardroom, within the workforce, and in government and policy matters.

Founded in 1873, Morgan Lewis offers some 1,600 legal professionals—including lawyers, patent agents, benefits advisers, regulatory scientists, and other specialists—in 25 offices across the United States, Europe, Asia, and the Middle East.

Website: https://www.morganlewis.com/

Locke Lord consistently ranks among American Lawyer’s top 100 U.S. law firms. The Firm’s full range of practice and industry areas serve national and international clients from offices in Atlanta, Austin, Chicago, Dallas, Hong Kong, Houston, London, Los Angeles, New Orleans, New York, Sacramento, San Francisco and Washington, D.C. It has an excellent reputation in complex litigation, regulatory and transactional work, with its 650-plus lawyers building collaborative relationships and crafting creative solutions – all designed and executed to meet clients’ long-term strategic goals.

Website: https://www.lockelord.com/

Seyfarth Shaw has more than 800 attorneys and provides a broad range of legal services in the areas of labor and employment, employee benefits, litigation, corporate and real estate. With offices in Atlanta, Boston, Chicago, Houston, London, Los Angeles, Melbourne, New York, Sacramento, San Francisco, Shanghai, Sydney and Washington, D.C., Seyfarth’s clients include over 300 of the Fortune 500 companies and reflect virtually every industry and segment of the economy. A recognized leader in delivering value and innovation for legal services, Seyfarth’s acclaimed SeyfarthLean® client service model has earned numerous accolades from a variety of highly respected third parties, including industry associations, consulting firms and media. For more information, please visit www.seyfarth.com.

Website: https://www.seyfarth.com/

Albert Lung is of counsel in Morgan Lewis's Business and Finance Practice.His practice concentrates on capital market transactions, corporate governance, and securities laws. His work focuses on representing companies, investment banks, and major stakeholders in a variety of corporate finance transactions, including IPOs, follow-on and secondary offerings, PIPEs, Rule 144A offerings, and convertible debt financing. Mr. Lung also counsels publicly listed companies on corporate governance, SEC regulations, legal compliance, NYSE and NASDAQ listing requirements, investors communications, and general corporate matters. He also advises companies located in the Asia-Pacific region in cross-border financing transactions and compliance with U.S. securities laws and disclosure requirements. He has represented clients in venture financing transactions, mergers and acquisitions, and other commercial transactions for companies in a variety of industries, with a focus on representing emerging technology and life science companies in Silicon Valley.

Daniel P. Weitzel is of counsel in Locke Lord's Washington, D.C. office where he represents clients in corporate and securities law, focusing on mergers and acquisitions and other corporate reorganizations, private placements of both debt and equity and general corporate business planning and counseling. Mr. Weitzel has represented companies and individuals in numerous instances relating to corporate control issues and financial transactions. Furthermore, Mr. Weitzel has also represented investment banks and other entities in acquisition, divestiture and capital raising transactions.

Mr. Weitzel has been involved with many transactions of a similar nature over the years. His representation consisted of advising the client on the full spectrum of issues, negotiating the transaction, drafting all transaction documents, preparing and filing any necessary applications or notices with various agencies, assisting the client in the performance of due diligence and closing the transaction.

Mr. Weitzel also provides extensive counseling and assistance with respect to corporate governance matters, securities reporting requirements, financial institution regulatory matters and executive compensation.

Georgia P. Quinn, a senior associate in the New York office of Seyfarth Shaw LLP, has spearheaded the firm’s crowdfunding initiative and is a sought after thought-leader in the crowdfunding space. Ms. Quinn has recently spoken to the Securities and Exchange and Commission , Congressional staff-members, leaders of US and UK crowdfunding portals and peer-to-peer lending platforms, the Canadian Equity Crowdfunding Alliance and has chaired a panel on crowdfunding for the ABA and presented to the Council of Development Finance Agencies, the Crowdfund Global Expo in San Diego and New York, in an international webcast for the New York State Bar Association, at the New York State Securities Bar and at the Small Business Administration Roundtable on crowdfunding in Washington DC.

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