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About the Teleseminar

“Crowd-funding” is an innovation under securities law that allows companies to raise capital from small investors using certain online platforms.  Companies are able to raise capital from investors that would not otherwise qualify to participate in securities offerings. The idea behind the new law is to open new sources of capital for companies that are too small for public offerings and too big for private offerings.  Disclosure and solicitation rules vary from existing securities law, but there are still substantial regulatory requirements that must be satisfied or give rise to liability for the issuer and others. This program will provide you with a practical guide to the new crowd-funding law, the types of companies for which crowd-funding will work best, the practical process of working with online platforms to raise capital, and how crowd-funding law alters existing securities law requirements. 

  •   Review of “crowd-funding” law and how it alters existing securities law for capital raising
  •  Types of companies and circumstances (including nonprofit ventures) in which crowd-funding is     best suited
  •  Restrictions on offerings – amount of offering, eligibility of investors, disclosures
  •   Crowd-funding process and relationship of issuer, online platform and investors
  •   Liability issues for issuer, its officers and directors
  •  Comparison of disclosure and solicitation under crowd-funding law to offerings under Section  506(c)


About the Speaker


Jeffrey A. Koeppel is a corporate securities attorney with more than 30 years’ experience in complex commercial transactions and capital raising in public and private markets for established companies and entrepreneurs. He has developed substantial expertise in advising companies on crowd-funding, and speaks nationally and maintains a blog on the topic.  Earlier in his career, he served as senior attorney-adviser in the Corporate Finance Division of the U.S. Securities and Exchange Commission.  Mr. Koeppel received his B.S. from the University of Maryland, his J.D. from Baltimore Law School, and his M.S. in finance from Loyola University in Maryland.

Mandatory MCLE Credit Hours

This seminar qualifies for 1.0 MCLE Credit Hour