New Rule 506 and Equity Crowdsourcing: New Opportunities with a Cost


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About This Course

With the passage of the Jumpstart Our Business Startups Act (“JOBS Act”), securities issuers of all sizes are bound by new rules and regulations which also create new opportunities for fundraising within an evolving compliance regime. The new rules started to take effect in July 2013, when the Securities and Exchange Commission adopted a private offering exemption under which issuers and their agents are permitted to use general advertising and general solicitation to find investors. These new exemptions became effective September 23, 2013, with additional proposed rules related to the lift of the general solicitation ban and equity crowdfunding still being finalized in 2014. In this engaging presentation, E. David Smith and Matthew Kittay simplify the complexities and point out the features of the new capital raising road map.

Topics covered include:

  • Recap of Reg D (before the JOBS Act)
  • New 506(c), permitting General Solicitation
  • New Reg D Filing Requirements
  • New Bad Actor Provisions and Drafting Points
  • Proposed Increased Penalties for Form D Non-Compliance
  • Discussion of the new interpretations of "General Solicitation"
  • Discussion of the proposed redefinition of "Accredited Investor"
  • Introduction to the proposed Crowdfunding Rules

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