JOBS Act Update: Crowdfunding and Other Private Offerings

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About This Course

This CLE program provides guidance on the business and compliance issues related to crowdfunding and the offering of unregistered securities through broker-dealers. Panelists provide regulatory and industry updates related to crowdfunding under Title III of the JOBS Act (Jumpstart Our Business Startups Act) and FINRA’s funding portal rules, private placements under the Securities and Exchange Commission’s (SEC’s) Regulation D, and the SEC’s amendments to Regulation A, known as “Regulation A-Plus.”

After attending this session, you will be able to:

  • Summarize the SEC’s rules governing crowdfunding under the JOBS Act.
  • Understand FINRA’s funding portal rules and application process/forms.
  • Learn tips on due diligence and risks with intermediaries.
  • Evaluate potential pitfalls in taking advantage of Regulation D and Regulation A-Plus.
  • Discuss compliance issues associated with these activities.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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