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Business Law MCLE - Securities Law for the Non-Securities Lawyer
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Representing Clients Raising Money From Investors (Including Real Estate Investors)

When: October 24, 2017
11:45 AM - 1:00 PM
Where: Attorney Resource Center
505 N County Farm Road
Third Floor
Wheaton, Illinois  60187
United States
Presenter: Nancy Fallon Houle
Contact: Robert Rupp

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“Securities Law for the Non-Securities Lawyer”.

Nancy Fallon-Houle of Velocity Law, LLC in Downers Grove, IL



  • What is a Security
  • When Securities Laws Apply to a Capital Raise or Real Estate Investment Deal
  • Why Clients Cannot Sell their Company’s stock on the Internet (Without Steps First)
  • Private Offering vs Public Offering
  • What is “General Solicitation” (and what is not)
  • Definition of “Accredited Investor”
  • Reg D “Bad Actor” Disqualification Rules
  • Notice Filings Required With Securities Regulators for a Private Investor Deal
  • “Blue Sky” Laws and Filings
  • “Integration” of Offerings; Disclosure Document (Offering Memo or PPM) by Company to Investors
  • Offering Memo Content
  • Disclosure Omissions Amounting to “Securities Fraud” under 10b-5
  • Common Pitfalls with Infusion of Investor Money
  • Private Offering Exemptions for Raising Capital
  • Regulation D Rules 506(b) and 506(c)
  • Regulation D Rule 504 (Small Public Offering) Exemption
  • Rule 147A (Intrastate Offering) Exemption
  • Perils of Unregistered Money Finders
  • Why Crowdfunding under Reg CF is not Viable, but “crowdfunding” under Reg D 506(c) and Reg A are
  • NEW - Liability to Issuers, Advisors, Lawyers and CPAs

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