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Description:
This CLE covers the basic legal requirements for conducting a private offering of securities under Regulation D (Rules 504 and 506) and Section 4(a)(2) of Securities Act of 1933: determination that offering is a regulated security, selection of safe harbor offering exemption and drafting issues for offering documents. CLE also covers select State Securities Law compliance issues for private offering of securities; common liability traps for practitioners in private offering of securities; recent enforcement focus of US Securities and Exchange Commission affecting private offerings of securities; and significant case law affecting private offerings of securities.
Presenter Bios
Paul Richter, Esq. practices Securities, Corporate, Business, M&A, Business Immigration and Commercial Law since 1985. Former General Counsel/Director/VP of NASDAQ quoted public co. Serve as outside legal counsel and a director to public and private cos. Update 4 nationally published law books covering M&A, securities offerings and corporate compliance programs. Licensed Virginia. L.LM. in Securities Regulation from Georgetown U. Law and J.D. from George Mason U. Law.
 | | Practice Areas: | | Corporate & Securities | | | Online Media Type: | | Video | | | Production Date: | | 03/01/2023 | | | Level: | | Intermediate | | | Category: | | Standard | | | Duration: | | 1 Hours, 6 Minutes | | | Online Format: | | On Demand | | | Course Type: | | Public |
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Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
West LegalEdcenter will not provide accreditation for states not listed.
CLE Scholarship information
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This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.
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| | • | Paul Richter - PW Richter PLC |
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