Banking & Finance

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Securities Basics

Credits Available
Credit Status Total
California MCLE Paralegal Approved 3 Total
Alaska CLE Reciprocity 3 Total
Alabama CLE Approved 3 Total
Arkansas CLE Approved 3 Total
Arizona CLE Approved 3 Total
California CLE Approved 3 Total
Colorado CLE Approved 4 Total
Connecticut CLE Approved 3 Total
Delaware CLE Approved 3 Total
Florida CLE Approved 3.5 Total
Georgia CLE Approved 3 Total
Hawaii CLE Approved 3 Total
Iowa CLE Approved 3 Total
Idaho CLE Approved 3 Total
Illinois CLE Approved 3 Total
Indiana CLE Approved 3 Total
Kansas CLE Upon Request 3.5 Total
Kentucky CLE Upon Request 3 Total
Louisiana CLE Approved 3 Total
Maine CLE Approved 3 Total
Minnesota CLE Approved 3 Total
Missouri CLE Approved 3.6 Total
Northern Mariana Islands CLE Approved 3 Total
Montana CLE Pending 3 Total
North Carolina CLE Approved 3 Total
Nebraska CLE Approved 3 Total
New Hampshire CLE Approved 3 Total
New Jersey CLE Approved 3.6 Total
New Mexico CLE Approved 3 Total
Nevada CLE Approved 3 Total
New York CLE Approved 3.5 Total
Ohio CLE Approved 3 Total
Oklahoma CLE Approved 3.5 Total
Pennsylvania CLE Approved 3 Total
Rhode Island CLE Upon Request 3.5 Total
South Carolina CLE Approved 3 Total
Tennessee CLE Approved 3 Total
Texas CLE Approved 3 Total
Utah CLE Approved 3 Total
Virginia CLE Approved 3 Total
Vermont CLE Approved 3 Total
Washington CLE Approved 3 Total
Wisconsin CLE Approved 3.5 Total
West Virginia CLE Approved 3.6 Total
Wyoming CLE Approved 3 Total
Arizona CPE for Accountants Approved 3.5 Total
New York CPE for Accountants Approved 3.5 Total
Washington CPE for Accountants Approved 3.5 Total
Wisconsin CPE for Accountants Approved 3.6 Total
Delaware Certified Paralegal Program Approved 3 Total
Florida Registered Paralegal Approved 3.5 Total
Indiana Paralegal CLE Approved 3 Total
Montana CLE Credit for Paralegals Approved 3 Total
CPE for Accountants/NASBA Approved 3.5 Total
North Carolina Continuing Paralegal Education Approved 3 Total
New Mexico Paralegal Division, State Bar of Approved 3 Total
Ohio Certified Paralegals Approved 3 Total
NFPA Approved 0 Total
Texas State Bar of Paralegal Division Approved 3 Total
Live Online
3 hours
Richard Weintraub
Gregory Karch
With Richard A. Weintraub from Weintraub Law Group PC + 1 other

Tue, Nov 24, 00:00 AM – 00:00 PM

Product ID 102664

Register For Course

Course Includes
$299

Live Webinar Registration

OnDemand Recording

Course Book Download

OnDemand content will be available within 7 days of event date.

Overview

Keep Your Clients Compliant: Real-World Strategies to Stop Businesses From Blowing Their Securities Exemptions

Every time a business client takes money from an investor, a securities law issue is born. This is not a theoretical seminar on SEC history. This 3-hour, highly practical program is designed specifically for general corporate and transactional attorneys who need to manage capital raises safely. Attendees will walk away with real-world intake strategies, a step-by-step compliance checklist, drafting techniques for private offerings, and the exact scripts needed to keep aggressive clients from violating marketing rules. Register today!

  • Spot hidden securities traps on day one.
  • Stop aggressive startup founders from accidentally blowing their exemptions.
  • Eliminate administrative guesswork with a step-by-step filing guide.
  • Shield your clients (and your practice) with defensive drafting techniques.

Abbreviated Agenda

  1. Is It a Security?
  2. Navigating Private Placement Exemptions (Regulation D)
  3. Step-by-Step Form D and Blue Sky Compliance
  4. Defensive Drafting and the Closing Checklist

Can't Attend Live?

Get the OnDemand Instead

Watch the recording of this event on your own schedule. We'll notify you when its ready.

Related Topics

Product ID 102664

Credit Details

Credits Available
Credit Status Total
California MCLE Paralegal Approved 3 Total
Alaska CLE Reciprocity 3 Total
Alabama CLE Approved 3 Total
Arkansas CLE Approved 3 Total
Arizona CLE Approved 3 Total
California CLE Approved 3 Total
Colorado CLE Approved 4 Total
Connecticut CLE Approved 3 Total
Delaware CLE Approved 3 Total
Florida CLE Approved 3.5 Total
Georgia CLE Approved 3 Total
Hawaii CLE Approved 3 Total
Iowa CLE Approved 3 Total
Idaho CLE Approved 3 Total
Illinois CLE Approved 3 Total
Indiana CLE Approved 3 Total
Kansas CLE Upon Request 3.5 Total
Kentucky CLE Upon Request 3 Total
Louisiana CLE Approved 3 Total
Maine CLE Approved 3 Total
Minnesota CLE Approved 3 Total
Missouri CLE Approved 3.6 Total
Northern Mariana Islands CLE Approved 3 Total
Montana CLE Pending 3 Total
North Carolina CLE Approved 3 Total
Nebraska CLE Approved 3 Total
New Hampshire CLE Approved 3 Total
New Jersey CLE Approved 3.6 Total
New Mexico CLE Approved 3 Total
Nevada CLE Approved 3 Total
New York CLE Approved 3.5 Total
Ohio CLE Approved 3 Total
Oklahoma CLE Approved 3.5 Total
Pennsylvania CLE Approved 3 Total
Rhode Island CLE Upon Request 3.5 Total
South Carolina CLE Approved 3 Total
Tennessee CLE Approved 3 Total
Texas CLE Approved 3 Total
Utah CLE Approved 3 Total
Virginia CLE Approved 3 Total
Vermont CLE Approved 3 Total
Washington CLE Approved 3 Total
Wisconsin CLE Approved 3.5 Total
West Virginia CLE Approved 3.6 Total
Wyoming CLE Approved 3 Total
Arizona CPE for Accountants Approved 3.5 Total
New York CPE for Accountants Approved 3.5 Total
Washington CPE for Accountants Approved 3.5 Total
Wisconsin CPE for Accountants Approved 3.6 Total
Delaware Certified Paralegal Program Approved 3 Total
Florida Registered Paralegal Approved 3.5 Total
Indiana Paralegal CLE Approved 3 Total
Montana CLE Credit for Paralegals Approved 3 Total
CPE for Accountants/NASBA Approved 3.5 Total
North Carolina Continuing Paralegal Education Approved 3 Total
New Mexico Paralegal Division, State Bar of Approved 3 Total
Ohio Certified Paralegals Approved 3 Total
NFPA Approved 0 Total
Texas State Bar of Paralegal Division Approved 3 Total
Select Jurisdiction
CLE
Paralegal
Other

Agenda

All times are shown in

  1. Is It a Security?

    1. The Day-One Intake Questionnaire
    2. Applying the Howey Test to the Modern Deal Structures
    3. The Reves Test: When is a Promissory Note or a Business Loan Actually a Security?
    4. Real-World Business Traps: "Passive" Investors, Alternative Structures, Joint Ventures, etc.

  2. Navigating Private Placement Exemptions (Regulation D)

    1. The Exemption Selection Matrix
    2. Managing the Client's Marketing Behavior
    3. Verifying Investor Accredited Status
    4. The Integration Doctrine and Checklist

  3. Step-by-Step Form D and Blue Sky Compliance

    1. The 15-Day Clock
    2. Navigating the SEC EDGAR System
    3. State-Level Notice Filing Mechanics

  4. Defensive Drafting and the Closing Checklist

    1. The Strategic Disclosure Assessment
    2. Anatomy of an Effective Investor Questionnaire
    3. Implementing the "Bad Actor" Diligence Workflow
    4. The Final Closing Checklist

Who Should Attend

This legal course is designed for attorneys. Accountants and paralegals will also benefit.

Speakers

Richard A Weintraub
Richard A.
Weintraub
Weintraub Law Group PC
Gregory M Karch
Gregory M.
Karch
Venturly Law, P.A.
Speaker bio
Richard A Weintraub

Richard A. Weintraub

Weintraub Law Group PC
Richard Weintraub

is the owner of Weintraub Law Group PC, where he focuses his practice in the formation of business entities; venture capital transactions; mergers, acquisitions and divestitures; public and private offerings; and debt financing. Mr. Weintraub has also been an instructor of tax and securities law courses at UCLA, University of California San Diego, and the University of San Diego. He has instructed a course entitled "Securities Law Implications for the Emerging Growth Business" at UCSD. Mr. Weintraub is admitted to practice in California and before the U.S. Claims Court, U.S. Tax Court, U.S. District Court for the Central District of California, and the U.S. District Court for the Southern District of California. He earned his B.A. degree from the University of California Los Angeles and J.D. degree from Loyola Marymount University.

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Speaker bio
Gregory M Karch

Gregory M. Karch

Venturly Law, P.A.
Gregory Karch

is the founding shareholder of Venturly Law, P.A., a Tampa-based boutique law firm focused on business transactions, private capital raises, securities regulation, digital asset law, and wealth preservation. He advises founders, investors, private companies, and high-net-worth individuals from entity formation through exit, with growing experience in business succession planning, asset protection, and estate planning. Mr. Karch is also the founding manager of Blocadia Capital, LLC, a private investment fund focused on distributed ledger technologies; the founder of Sovranty LLC, a blockchain development studio; and the founder of TangerineRWA, a platform for on-chain real estate transactions. He has been active in the blockchain and digital asset space since 2013 and was among the first attorneys in the United States to publish legal scholarship on Bitcoin regulation in 2014. Mr. Karch earned his LL.M. in Business Transactions from the University of Alabama School of Law and his J.D., cum laude, from Florida A&M University College of Law, where he served as an editor of the FAMU Law Review. He holds a Master of Public Administration from Troy University and a Bachelor of Arts from Colorado State University. He served in the United States Navy prior to law school and has been licensed to practice law in Florida since 2016. Mr. Karch has produced CLE programming on cryptocurrency law for the National Business Institute and is a member of The Florida Bar Association’s Business Law Section and the Hillsborough County Bar Association.

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Yes, the more people you bring from your organization, the more you save. After the first registration, each additional attendee receives a special discount off of their total tuition.
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