Print Page   |   Contact Us   |   Sign In   |   Register
Securities Issues in Closely Held Companies (teleseminar)
Register Tell a Friend About This EventTell a Friend
 

This program will provide you with a guide to how securities law applies when closely held companies issue new equity or debt, with an emphasis drafting subscription agreements, and planning to avoid “reporting company” status.

 Export to Your Calendar 11/27/2017
When: 11/27/2017
1:00 PM to 2:00 PM
Where: United States
Contact: (404) 521-0781


Online registration is available until: 11/27/2017
« Go to Upcoming Event List  

 
One-hour CLE programs are just a phone call away
 
Convenient, affordable, timely and informative
 
An 800 number connects you to nationally recognized practice leaders who will speak on important issues and emerging trends in the law. You can also pose your own questions to the speakers. Written materials and other details are emailed in advance to pre-registrants.
 
SECURITIES ISSUES IN CLOSELY HELD COMPANIES, 1 CLE hour
Closely held companies are subject to securities regulation as much as large, publicly traded companies.  Though the areas of emphasis may vary between smaller and larger companies, federal securities regulations establish a range of eligibility and impose disclosure requirements when closely held companies raise capital and substantial liability for any compliance failure.  Also, rapidly growing private companies issuing incentive stock to employees and new investors also risk triggering “reporting company” status under federal securities law, which would impose ongoing reporting obligations on the private company. This program will provide you with a guide to how securities law applies when closely held companies issue new equity or debt, with an emphasis drafting subscription agreements, and planning to avoid “reporting company” status.  

Securities law issues for closely held companies
Framework of securities law requirements when issuing equity, debt or incentive securities 
Subscription agreements – essential components to ensure adequate disclosure and avoid financial liability
Exemption planning – Regulation D, accredited investors v. qualified purchasers, non-solicitation, and disclosures
Understanding exempt securities v. exempt offerings
How closely held companies trigger “reporting company” status and techniques to avoid it


Speakers:

Eric R. Smith is a partner in the Baltimore, Maryland office of Venable, LLP, where he represents closely held and publicly traded companies in capital raising transactions, mergers and acquisitions, and joint ventures.  He has extensive experience advising companies on securities compliance issues in capital raising, periodic reporting, the fiduciary duties of directors and communications with stockholders. He is a member of the ABA Committee on Federal Regulation of Securities and the Committee on Corporate Governance.  Mr. Smith earned his B.S. from Cornell University, his J.D. from the University of Baltimore School of Law, and his LL.M. in securities and financial regulations from Georgetown University Law Center.

 

 

 

*(Teleseminar courses qualify for self-study credit only)  

 

Association Management Software Powered by YourMembership  ::  Legal