CA2603D Securities Law for Attorneys Representing Closely-Held Businesses

Close in on capital formation

Although closely-held businesses differ from traditional companies in that the majority of stock is owned by only a few individuals, they still need to properly navigate state and federal securities regulations relating to capital formation just like publicly-traded companies. Securities Law for Attorneys Representing Closely-Held Businesses gives you a grounding in the laws and liabilities relating to capital formation.

Short on capital knowledge?

Find an overview of the federal and state statutory and regulatory frameworks that govern eligibility, disclosure, and compliance in capital formation. You’ll also discover:

• The differences between exempt securities and exempt offerings
• The legalities of bringing on a new investor
• The opportunities and limitations of crowdfunding

Plus, the Wisconsin Division of Securities Administrator will share insights into key aspects of closely-held businesses and capital formation.

Keep a close watch on compliance

Knowing the rules is one thing. Following them is another. Not meeting statutory and regulatory requirements may result in serious liabilities for your client. Explore the consequences of noncompliance. Understand disclosure requirements and the penalties for inadequate disclosure.

In addition, know the stipulations of federal and state registration exemptions, especially the difference between "self-executing" exemptions and those which impose filing requirements.

Help with a capital “H”

Properly navigating state and federal securities regulations can mean smooth sailing the next time a closely-held business client wants to undertake capital formation activities.