Insight Center: Events & Webinars

Emerging Issues on SEC New Rule 506(c)

Speakers: Julia D. Corelli, William G. Strench and Patrick D. Sweeney


Presented by The Knowledge Group

April 3, 2014 | 12:00–2:00 PM (EDT)

Pursuant to the New Rule 506(c), the Securities and Exchange Commission (SEC) issued final rules regarding accelerated capital formation for emerging businesses, which went into effect on September 23, 2013. The SEC is also considering new and extensive due diligence requirements, which may include: (1) making a filing of your intent to use general solicitations before the first general solicitation occurs; (2) making a closing filing after the termination of the offering, submitting general solicitation materials to the SEC prior to using such materials and (3) including certain legends and other specific disclosures on all general solicitation materials. Finally, it is important to note that this ruling applies to all entities, such as corporations, limited liability companies and partnerships that may potentially have capital formation expansion.

The Knowledge Group has assembled a panel of speakers to provide an in-depth analysis of the emerging issues in SEC New Rule 506 that companies face in this year 2013 and beyond. In a two-hour live webcast, speakers will discuss:

  • making sure your company does not have any “bad actors”
  • determining the amount of funds you can raise
  • finding potential investors
  • determining which investors may purchase stock or securities
  • preparing the transaction documents
  • completing the sales of the stock or other securities
  • governmental filings and compliance
  • best practices
  • latest regulatory updates.

Julia D. Corelli, Partner, Pepper Hamilton LLP
Patrick D. Sweeney, Partner, Herrick, Feinstein LLP
William G. Strench, Member, Frost Brown Todd LLC

CLE available.

Course Fee
$199 – $249 (Early Bird Discounted Rate – on or before 03/24/2014)
$299 – $349 (Regular Rate – registration after 03/24/2014)
$149 (Government / Nonprofit Rate)
$299 (Promotional Group Registration Less than 10 People – on or before 03/24/2014)
$499 (Promotional Group Registration More than 10 People – on or before 03/24/2014)