Legal and Regulatory Considerations 1 Credit
ESOP Series
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Attorneys can be crucial in guiding small business owners through the transition to employee ownership. They begin with an initial consultation to understand the business owner’s goals and vision for the transition.
This CPE course will provide educational guidance on various employee ownership options, including Employee Stock Ownership Plans (ESOPs), cooperatives, and direct stock ownership. We will cover how attorneys will thoroughly discuss the pros and cons of each option to help you make informed decisions. Attorneys will also assist in assessing the feasibility of transitioning to employee ownership by evaluating financial aspects, employee interest, and overall business readiness. Additionally, they will advise on selecting the most suitable legal structure for the employee ownership plan, ensuring compliance with relevant labor laws, securities regulations, and tax implications.
This CPE webinar, Part of the ESOP Series, provides a comprehensive overview of the legal and regulatory landscape surrounding employee ownership. Participants will gain the knowledge and skills necessary to ensure compliance with legal obligations, navigate the complexities of documentation and regulatory filings, and establish mechanisms for maintaining ongoing legal compliance in employee-owned businesses.
Key topics covered:
Join this CPE Course. Through detailed discussions and practical examples, it will equip participants with the tools to manage the legal aspects of employee ownership effectively.
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I am the Senior Learning Product Manager at Project Equity, a nationwide non-profit organization that helps retiring owners sell their businesses to their employees. With over 20 years of experience in learning and development (L&D), content creation, and product management, I lead the service provider adoption team to educate and engage business service providers on the advantages of employee ownership exits.
My core competencies include agile L&D product development, content, curriculum, and certification management, executive SME recruitment, scaled operational efficiencies, and P&L/budget management. I am passionate about creating impactful and scalable learning solutions that empower employees, enhance organizational performance, and advance missional causes.
Brett Heeger focuses on transactional corporate and securities matters with a passion for community economic development and social enterprise. He supports a wide range of client companies, leveraging legal tools to support all of their goals: from profit and growth, to impact and inclusion. Brett’s clients come from a range of industries, from food and tech, to real estate, consulting, and financial services.
Brett has substantial experience leading clients through the process of planning for and bringing investment into their companies. From designing and managing friends and family rounds, direct public offerings (DPOs), navigating Regulation A+ and public company compliance, to negotiating venture investments and exit opportunities, Brett prides himself on his ability to work with clients to find the right investment tools and opportunities to position their business for success.
Brett also leads the firm's social enterprise and worker-owned cooperative efforts in Southern California. He has represented multiple cooperatives and members, and regularly presents and advises on legal matters for new and existing co-ops and social-impact minded businesses in Los Angeles. In law school, he co-founded the Community Enterprise Project, a clinical program where students engage in transactional law projects in support of under-served communities across Boston. From 2012 – 2014, Brett led projects and case teams in areas such as not-for-profit organization governance, food truck permitting and development, and urban agriculture.
Brett lives in Los Angeles with his partner, their three children, and their mostly good dog.
I am a trusted adviser to corporate and fiduciary clients, focusing on employee benefits law and employee stock ownership plan (ESOP) transactions. In particular, I counsel businesses, fiduciaries, and investment funds on the design and use of ESOPs and other tax-qualified plans to facilitate ownership transitions and foster successful employee-owned businesses. I also leverage my decade-plus experience with ESOP administration to assist my clients with qualified plan compliance and correction matters as well as ESOP sustainability.
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Yes, all our live webinars are approved by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies, ensuring they meet the high standards for quality, interactivity, and educational content set by these organizations.
To maintain compliance, you must adhere to the guidelines set by NASBA and other regulatory bodies, which include attending the full duration of the webinar, participating in interactive elements, and completing any post-webinar evaluations or assessments.
After successfully attending a live webinar and fulfilling all participation requirements, you can access and download your completion certificates from your account dashboard on our platform. These certificates are recognized by NASBA, IRS, CFP Board, HRCI, SHRM, Payroll Org, FP Canada, and 25+ other regulatory bodies for compliance and reporting purposes.
We issue instant credit certificates, ensuring they are valid for presentation to governing bodies. Typically, we report IRS, CTEC, CFP, IDFP, IWI, VBOA Ethics credits within 7 days – the fastest in the industry.
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