Reg A and Reg D: Evolving Securities Exemptions for Private Placement Offerings
Navigating Regulation A+, the FAST ACT, Rule 506 (c), and Accredited Investors: Recent SEC Guidance and the HALOS Act
A live 90-minute premium CLE webinar with interactive Q&A
This CLE webinar will provide private equity and securities counsel with an update on the current status of Reg A and Reg D, including an analysis of SEC compliance and disclosure interpretations (CDIs) released since the JOBS Act, the FAST Act and accompanying SEC rules went into effect. The panel will also discuss the HALOS Act and other revisions to Reg A and Reg D anticipated under the new administration.
- Introduction to Reg A and Reg D exemptions
- Regulation A+
- Tier 1 and Tier 2
- State law preemption
- FAST Act and the private resale of securities: Exemption requirements
- Rule 506(b) and 506 (c): Different approaches to verifying "accredited investors"
- Recent SEC compliance and disclosure interpretations
- Regulation A: Post-qualification amendments, calculation of the change in price in an offering, required financial statements
- Regulation D: Integration of 506(b) into 506(c) offering for purposes of accredited investor verification
- HALOS Act and other proposed changes to Reg A and Reg D
The panel will review these and other key issues:
- What are the different reporting obligations in Tier 1 and Tier 2 offerings under Reg A+?
- What are the conditions imposed under the FAST Act rules to allow for private resales without registration?
- How have recent CDIs impacted post-qualification amendments under Reg A?
- How have CDIs impacted Reg D generally and what further exemptions would come from the HALOS Act?
- What recommendations has the SEC made regarding revisions to the accredited investor definition?
Scott H. Kimpel
Hunton Andrews Kurth
Mr. Kimpel regularly advises clients across a broad sector of the economy facing sensitive reporting, compliance and... | Read More
Mr. Kimpel regularly advises clients across a broad sector of the economy facing sensitive reporting, compliance and enforcement matters before the Securities and Exchange Commission and other capital markets regulators. His practice encompasses a wide range of matters involving the securities laws, mergers and acquisitions, corporate governance, regulatory enforcement, administrative law and public policy. Mr. Kimpel also leads the firm’s working group on blockchain and distributed ledger technology.Close
to be announced.
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