The JOBS Act - the Regulation D Offering Reborn

Instructor: Warren R Markowitz
Product ID: 703589
  • Duration: 60 Min

recorded version

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Read Frequently Asked Questions

This webinar will focus on the comparison between the old and new Reg 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.

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 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 define the roles and responsibilities of those involved. The speaker will also discuss state and federal obligations, areas of concern, and investor requirements.

Areas Covered in the Webinar:

  • 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

Who Will Benefit:

This webinar will provide valuable assistance to all personnel in the banking and financial sector including:

  • 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

Instructor Profile:

Warren R. Markowitz, is an attorney and veteran compliance officer having been involved with the U.S. financial sector in one form or another since 1994. Mr. Markowitz has provided hands on, direct advisory services to domestic and international financial service providers in their dealings with federal and state oversight authorities and self-regulatory organizations. His experience with regulatory bodies has enabled him to represent his clients and provide real world references and perspective when resolving pre-existing issues and avoiding new ones.

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.

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