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Rule 506(c); General Solicitation; “Accredited Investor Crowdfunding”

Recorded on: May. 23, 2018
Running Time: 00:45:58

Full Transcript:



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Taken from the Web Program Private Placement and Hybrid Securities Offerings 2018 Recorded May, 2018 in New York [00:45:57]
  • Rule 506(b) versus Rule 506(c)
  • Guidance from the SEC Staff on “general solicitation” and “pre-existing substantive relationships”
  • General solicitation hypotheticals
  • Investor verification
  • Documentation considerations
  • Rule 506 “crowdfunding” to accredited investors and matchmaking sites

Julie Z. Davis, Marty Dunn, Thomas J. Kim

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Overview of Exemptions
    Julie Z. Davis
  • Practice Pointers on Navigating the Securities Act’s Prohibition on General Solicitation and General Advertising
    Martin P. Dunn
  • Practice Pointers on Matchmaking, How it Works, Current Regulations and Key Considerations
    Martin P. Dunn
  • SEC Guidance on General Solicitation Provides New Opportunities
    Stanley Keller
  • SEC Opinion Raises Question About 2007 General Solicitation Guidance
    Stanley Keller
  • Small Issuer Capital Raising Decision Matrix (March 1, 2018)
    Stanley Keller
(s)
Julie Z Davis ~ Senior Special Counsel, Division of Corporation Finance, U.S. Securities and Exchange Commission
Marty Dunn ~ Morrison & Foerster LLP
Thomas J Kim ~ Sidley Austin LLP
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