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Growth Capital Legal and Regulatory Update Summit

November 19, 2014


JOBS Act: Title II Implementation
2:00-2:45 pm
Proposed changes to “accredited investor” eligibility and definitions and expected impacts on Reg D offerings; Rule 506(c) offerings and the use of general solicitation in equity crowd finance; investor verification best practices for Title II funding platforms; open issues relating to the “bad actor” definition; CFTC limited relief for general solicitation by certain investment funds.

SPEAKERS: David Lynn, Morrison Foerster; Anna Pinedo, Morrison Foerster; DJ Paul, Propellr;Chris Tyrrell, Offerboard

JOBS Act Title III & Title IV
2:50-3:35 pm
Portal compensation from Title III crowd offerings; non-accredited investor compliance issues, Form D disclosure proposals; Transactional costs for Title III offerings; Public crowd finance under Reg A+: Qualified purchasers and state pre-emption; Improving liquidity in private secondary markets.

SPEAKERS: Mark Roderick, Flaster/Greenberg, Samuel Guzik, Guzik & Associates; Alixe Cormick, Venture Law Corp.

Challenges for Public Emerging Growth Companies
3:40-4:25 pm
Tick size pilot implementation; Microcap Task Force: Reg M Rule 105 and Section 16 reporting sweeps, “algorithmic analysis” in SEC investigations; Primary shelf registration limit expansion; DTC “chill” relief.

SPEAKERS: Ele Klein, Schulte Roth & Zabel; additional TBA.

Special Legislative Update: JOBS Act 2.0
4:30-5:00 pm
A special presentation on the state of Congressional efforts to revise and amend the JOBS Act and related laws to improve capital access and formation for small companies.

SPEAKER: David Burton, Senior Fellow in Economic Policy, The Heritage Foundation

5:00-6:30 pm


November 19, 2014
2:00 pm - 6:30 pm


National Press Club
529 14th St. NW, 13th Floor
Washington,DC 20045

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