An Introduction to Securities Law for the General Practitioner

If you represent business, corporate or entrepreneurial clients, sooner or later you will be asked to help them raise capital by offering their securities to potential investors. A basic knowledge of federal and state securities law is essential to advising and counseling clients in this situation, but you do not have to be a “securities lawyer” in order to avoid malpractice or fulfill your duty of competence in this situation. In this fast-paced, entertaining presentation, you will develop a basic understanding of the federal and state rules and regulations governing business capital formation.

Topics to be covered include:

When do nonsecurities lawyers need to know something about securities law?
The definition of a “security”
The U.S. Securities Act of 1933 and the different types of “private offerings” of securities that are exempt from its requirements
Regulation D and Rules 504, 506(b) and 506(c)
State securities or “blue sky” laws
Form D filing requirements for private offerings of securities
What needs to be included in your client’s “pitch deck” or “offering statement” to prospective investors; and
The basics of crowdfunded offerings under SEC regulations.

Topics covered include:

Banking & Finance Business Law Law Practice

Agenda:

Introductory Overview

Brief introduction of the presenter
How do businesses raise capital, and when do the securities laws apply?

Understanding the Federal and State Securities Laws

An overview of federal securities laws and regulations, including Regulation D
An overview of state securities (“blue sky”) laws
Understanding the concepts of “accredited investor” and “general solicitation”
When you need to involve a securities law specialist

Crowdfunded Offerings of Securities

Overview of Regulation Crowdfunding
Dealing with crowdfunding “portals”

Your Client’s “Pitch Deck” or “Offering Statement”

What must be included under SEC Rule 502(b)
Preparing the “risk factors” disclosure

Managing Your Legal Liability in Securities Transactions

Securities law and your malpractice policy
Understanding there is no such thing as “perfect compliance” with securities law

Duration of this webinar: 60 minutes

Originally broadcast: May 29, 2025 11:00 AM PT

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Continuing Legal Education (CLE) Credits

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California CLE

Status: Approved

Credits: 1.00 General

South Carolina CLE

Status: Approved

Credits: 1.00 General

Difficulty: All Levels

North Carolina CLE

Status: Approved

Credits: 1.00 General

Texas CLE

Status: Approved

Credits: 1.00 General

This presentation is approved for one hour of General CLE credit in California, South Carolina (all levels), and North Carolina. This course has been approved for Minimum Continuing Legal Education credit by the State Bar of Texas Committee on MCLE in the amount of 1.00 credit hours.

Justia only reports attendance in jurisdictions in which a particular Justia CLE Webinar is officially accredited. Lawyers may need to self-submit their certificates for CLE credit in jurisdictions not listed above.

Note that CLE credit, including partial credit, cannot be earned outside of the relevant accreditation period. To earn credit for a course, a lawyer must watch the entire course within the relevant accreditation period. Lawyers who have viewed a presentation multiple times may not be able to claim credit in their jurisdiction more than once. Justia reserves the right, at its discretion, to grant an attendee partial or no credit, in accordance with viewing duration and other methods of verifying course completion.

At this time, Justia only offers CLE courses officially accredited in certain states. Lawyers may generate a generic attendance certificate to self-submit credit in their own jurisdiction, but Justia does not guarantee that lawyers will receive their desired CLE credit through the self-submission or reciprocity process.

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Speaker

Cliff Ennico Attorney
Law Office of Clifford R. Ennico

CLIFFORD R. ENNICO (www.cliffennico.com) is widely considered to be one of America's leading experts on the legal and tax problems facing entrepreneurs and privately-owned businesses. Read More ›

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