Financial Poise Webinars
Practical and entertaining education for business owners and executives, Accredited Investors, and their legal and financial advisors.

Securities Law 2018


Advanced Topics: Public Company Reporting

Once public, a company is subject to a continuously evolving landscape of disclosure and reporting requirements. Recent disclosure developments have addressed everything from executive compensation to cybersecurity. In addition, the prevalence of social media has made it such that a company must now consider not only the nuances of what to disclose but also how to deliver that disclosure. Is your company tweeting its earnings reports; are you using your corporate Facebook page to make Regulation FD disclosures?

In this webinar our expert panel provides you with a high-level overview of key public company reporting and disclosure requirements, including the latest developments brought about by the Dodd-Frank Act, JOBS Act, FAST Act and, most recently, the SEC’s Disclosure Effectiveness Initiative, as well as provide you with tangible examples and practical advice on how to comply with the ever-changing means of delivering that disclosure.


Private Offering Exemptions and Private Placements

The private capital markets have become an increasingly important source of funding for both private and public companies alike. Today total capital raised through private placements surpasses total capital raised in public offerings. What’s more, in recent years legislation like the JOBS Act has made a number of significant changes to laws and regulations governing private capital markets. Consequently, an understanding the myriad private offering exemptions and how to properly conduct a private placement is crucial for not only for lawyers, but also for executives, managers, directors and anyone involved in corporate finance transactions.>

In this webinar our expert panel provides you with a high-level overview of private offering exemptions, including the latest developments in this ever-changing area of the securities laws, as well as tangible examples and practical advice on how to conduct a successful private placement.


Securities Law: An Overview

Stocks and bonds are easily recognizable as securities, but did you know that promissory notes may also be securities? So can certain joint venture interests and many other types of investment contracts. Then there are cryptocurrency altcoins, which are sometimes securities and sometimes not.

How do you identify a security? What are some of the requirements related to offering and selling securities? How do they differ between private and public companies? What happens if you fail to comply with securities laws? How has legislation like the JOBS Act, the FAST Act changed the way in which companies offer and sell their securities?

In this webinar our expert panel provides you with a high-level overview of the federal securities laws as well as tangible examples and practical advice in answer to these and many more questions.