The JOBS Act - The Regulation D Offering Reborn

Duration: 60 Minutes
This webinar will focus on the comparison between the old and new Regulation D Rule 506 Offering and will highlight the importance of compliance in this new arena. It will also discuss the roles and responsibilities of counsel and company management.
JOBS Act
Product ID: 501484
Objectives of the Presentation
  • A look at the legislation
  • Comparison between old and new
  • General solicitation in the modern era
  • Investor requirements
  • Roles and responsibilities of counsel
  • Roles and responsibilities of company management
  • State and federal obligations
  • Pitfalls and areas of concern
Why Should you Attend
This webinar will prove indispensable if you:
  • Counsel growth, startup and development stage companies
  • Are an entrepreneur looking to raise capital for a growing business or idea
  • Own a company that requires funding but wants to handle the interaction with investors personally
The JOBS Act (Jumpstart Our Business Startups Act) allows opportunities previously controlled by stock brokers. In the past, in order to offer such an investment to a person, a prior relationship had to exist. Today, a company's president or agents of the company can solicit funds for its benefit and in turn for the benefit of the investor. However, this ability comes with the obligation that one needs to comply with the added restrictions and oversight necessary to ensure that the investors and general public are protected from unscrupulous individuals.

Compliance, disclosure and oversight are the necessary and proper tools to keep out of trouble and within the confines of the rule. From soliciting funds to filing disclosures with the proper authorities, as gate keepers many hold the key to the success of their companies and clients and the effective use of the exemption.

This webinar will help attendees distinguish between the obvious and not so obvious pitfalls that the expansion of the regulation entails and defines the roles and responsibilities of those involved. The speaker will also discuss state and federal obligations, areas of concern, and investor requirements.

Who can Benefit
  • Consultants
  • Company service providers
  • Company management
  • Investor relations professionals
  • Regulatory compliance associates and managers
  • Those interested in raising capital internally without relying on traditional means
Topic Background
The JOBS Act was designed to breathe life back into a fragmented and highly complex financial market by making investment into private companies easier and less expensive. With this concept in mind, the Act has provided one of the greatest opportunities for entrepreneurs, business owners and investors since the development of exempted offerings.

General solicitation, the inclusion of the web, radio, television and print advertising, allows social media to be added to the traditional avenues to raise capital for incubation and developmental stage companies. When handled well, this returns Wall Street to Main Street and moves capital into the hands of those that can best use it.
$300
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  • Please let us know your thoughts and views at the end of the webinar, your valuable feedback will help us improve
Recorded Session - How it works
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  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
Warren R. Markowitz is an attorney and veteran compliance officer. He has been an active participant in the world wide financial sector since 1994. Mr. Markowitz has provided hands on, direct advisory services to domestic and international financial providers in their dealings with federal and state oversight authorities and self-regulatory organizations, as both a lawyer and an adviser through consulting and technology advisory firms with whom he maintains relationships. His real world experience with regulatory bodies has enabled him to represent his clients with a perspective on resolving matters or concern and avoiding new ones.
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