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5 Things You Need To Know About The SEC’s New Capital Raising Rules

  • Accountant
  • CFE
  • CPA (US)
  • CVA
  • CA - ICAEW
  • ACCA
  • CBA/MCBA
  • FPAC
  • CA - Ireland
  • CA - Scotland
  • CPA - Ireland
  • CFIRS
  • CWS

Published: September, 2021

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Before starting this self study program, please go through the instructional document.

  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Overview

  • Goals of New Rules
    4 mins
  • Common Exemption and $ Raised in 2019
    14 mins
  • New Crowdfunding II
    23 mins
  • Demo Days Pre-Rule
    26 mins
  • Finders and Commissions
    39 mins

Course Description

The U.S. Securities and Exchange Commission has modified rules that affect how companies can raise capital via direct listings and equity crowdfunding. While the SEC frequently changes rules governing capital raising rarely does it shift its approach to fundraising as is the case here.  As a result, this rule is one of the most significant pieces of Securities and Exchange Commission rulemaking for private companies in the last twenty years.

This online CPE webinar will examine the highlights of the SEC’s November 2020 rulemaking which takes effect on March 15, 2021 and its practical impacts on companies.   

The key topics covered in this SEC updates Online CPE webinar are:

  1. Increased dollar limits for Crowdfunding in Regulation CF,
  2. Increased dollar limits for Rule 504 of Regulation D,
  3. Increased dollar limits for Tier 2 of Regulation A, and
  4. Creation of a safe harbor for demo days

This online CPE webinar is a must attend for CPAs, CMAs, CVAs, ABVs and CFOs, CEOs and top management executives. 

Learning Objectives

  • To learn how the SEC has shifted its views towards private company capital raising
  • To gain an awareness of the SEC’s views on securities issuances and exemptions
  • To understand the practical impact of the increased exemption dollar limits
  • To learn what new tools are available to companies seeking capital
  • To understand how companies can safely participate in demo days

Recommended For

This Online CPE/CE Webinar on Finance is recommended for CPAs, CVA, CFEs, ABVs, and Other Accounting, Tax, and Finance Professionals who desire to support their clients with information on SEC

Who Should Attend?

  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Finance Director
  • Finance Pros
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1 CPE Credit for Certified Valuation Analyst (CVA)
  • 1 CPE Credit of Finance for Certified Public Accountants (CPA-US)
  • 1 CPE Credit for Certified Fraud Examiner (CFE)
  • 1 CPE Credit for Certified Business Appraiser/Master Certified Business Appraiser (CBA/MCBA)
  • 1 CRE Credit for Certified Corporate FP&A Professional (FPAC)
  • 1 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 1 CE Credit for Certified Wealth Strategist (CWS)
  • 1 General Credit for Accountant/Bookeeper
  • 1 CPD Credit for CA - ICAEW
  • 1 CPD Credit for Chartered Certified Accountants (ACCA)
  • 1 CPD Credit for Chartered Accountants - Ireland (CAI)
  • 1 CPD Credit for Chartered Accountants - Scotland
  • 1 CPD Credit for CPA - Ireland

Additional details

  • Course Level :
    Basic
  • Credits :
    1
  • Instructional Method :
    QAS Self Study
  • Pre-requisites :
    None
  • Advance Preparation :
    None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Presenter

About Presenter

Kresimir Peharda

Partner, Vested Law LLP

Kresimir Peharda is a corporate and securities attorney. His clients benefit from his experience representing public companies and hands-on operational experience in three start-ups, two in healthcare and one in real estate. He represents companies in all stages of development from start-ups to public reporting companies.

Kresimir has assisted his public clients in IPOs, spin-offs, going private transactions, SEC compliance, corporate governance, corporate reorganizations and complex financing transactions. He advises startups and middle market companies on contracts, equity compensation, debt and equity financing, mergers and acquisitions, and shareholder matters. His clients have raised more than $1.5 Billion in capital through: public and private securities offerings (including private placements and PIPEs), commercial bank loans, other asset-based lenders, private equity firms, strategic partners, and VCs.

He also structured, negotiated, and closed mergers and acquisitions with a market value in excess of $750 Million in domestic and international settings. Kresimir has assisted his clients in alliance, development, distribution, licensing, marketing and sales agreements worth in excess of $800 Million.

He often acts as outside general counsel for private companies, advising them on corporate compliance, board and management matters, investor relations, equity compensation, and strategic business matters.

His practice areas include contracts, deal structure, equity compensation, governance and compliance, financing, investor relations, joint-ventures, mergers and acquisitions, real estate, reorganizations, securities, start-ups, and venture funding

About Company

Vested Law LLP

www.vestedlaw.com

Vested Law LLP focuses on helping small and mid-size technology based businesses grow. We understand that good legal counsel is critical to your success. However, legal counsel must fit within the context of a business’ overall market and technology strategies to be most effective.

Vested brings a diverse skill set to the table that lets us understand who you are, what you do, and how you do it.  As lawyers, we are increasingly called upon to provide counsel on issues requiring knowledge that is generally considered to be beyond the scope of a traditional legal education and practice. For example, entrepreneurial ventures are the driving force behind modern innovation and wealth creation, and Vested attorneys expertly assist our clients in forming and growing such ventures.

In addition to being world-class transactional and litigation attorneys, we also have deep expertise and experience in entrepreneurship, technology, finance and business strategy. As lawyers with not only business skills but extensive experience actually operating and growing companies we have a distinct and significant advantage over our peers. Additionally we have formed alliances with diverse non-legal allies to assist in areas outside of our own skill sets.

Vested understands that good communication between a business’ principals and their legal counsel is just as important as the knowledge base that the counsel brings to bear. The foundation of good communication is understanding. We therefore attempt to understand a client’s business needs from their perspective, and this forms the foundation of our Core Values.

Vested then focuses on how our legal advice can help our clients solve business problems, manage risk, and create wealth

Faq

FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
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  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link : https://zoom.us/download
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
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