Since its enactment in 2015, Regulation A has offered an exemption from registration requirements for smaller companies that want to raise equity capital through a public offering of securities. Instituted by the Securities Act, Regulation A creates two tiers of public offerings. Each comes with distinctly different reporting and disclosure requirements as well as separate ceilings for the value of securities that can be issued in any given year.

The Reg A Conference dives into these topics with a slate of experts who know the rules of the road when it comes to securities offerings. Hear from executives who’ve steered their companies through public offerings, as well as legal experts, accountants, and investment bankers who help ensure optimal results. Learn about the distinct format options for preparing a prospectus, as well as what to include.

The Reg A Conference dives into these topics with a slate of experts who know the rules of the road when it comes to securities offerings. Hear from executives who’ve steered their companies through public offerings, as well as legal experts, accountants, and investment bankers who help ensure optimal results. Learn about the distinct format options for preparing a prospectus, as well as what to include.

Hosted By

Education

Discussion of legal issues, finance trends, and marketing techniques.

Networking

Surround yourself with thought-leaders in the industry.

Ideas

Innovative ideas from a roster of investors, bankers, and lawyers.

The Agenda

Everything you ever wanted to know about Regulation A.

Call us at (516) 876-8006 or email team@dealflow.com.

The Agenda: Comprehensive Content & Innovative Ideas

Reg A creates a wealth of fundraising opportunity for smaller companies. Although the rules and regulations are vastly streamlined, Reg A is by no means simple to follow. To navigate these thorny thickets, we've assembled panels of experts who are ready to dissect this area to the depth our attendees expect and demand. Get your questions answered and come away confident in the knowledge that you will be better prepared to take advantage of Reg A when it's time to raise capital.

Breakfast & Networking

Opening Remarks

The State of Reg A (Panel)

  • Benefits of the Regulation A Improvement Act of 2017
  • Current market conditions
  • Investor appetite

Reg A Advantages & Alternatives (Presentation)

  • Reverse mergers
  • SPACs
  • Rule 504
  • Regulation S
  • Self-filings

The Role of Brokers in Reg A Deals (Presentation)

  • Evaluating the right broker for the deal
  • Using FINRA’s BrokerCheck
  • Using crowdfunding sites to achieve critical mass
  • Understanding Regulation CF

Networking & Coffee Break

Marketing the Reg A Offer (Presentation)

  • How & where to market
  • SEC rules/Trigger words to avoid
  • Reaching the right audience
  • Measuring success/ROI

Understanding the Critical Differences Between Tier 1 and Tier 2 Offerings (Presentation)

  • Audit obligations
  • Streamlined reporting process with choice of three formats
  • Overview of Tier 1 limits: $20M maximum
  • Overview of Tier 2 limits: $50M maximum
  • Reviewing Tier 2 exemptions from Blue Sky Laws

Will Regulation A Achieve Its Potential? (Presentation)

  • Understanding what to include in reports
  • Thoughts on proxy rules
  • Tender offer rules
  • Accounting and audit requirements
  • Electronic filing requirements
  • Online reporting and disclosure

Digital Tokens, an SEC Enforcement Perspective, and Ensuring Compliant ICOs (Panel)

  • Are ICOs securities offerings?
  • Recent History of  SEC enforcement actions regarding ICO’s, and where things seem to be heading in 2018
  • Understanding Reg A offerings
  • Reg D 506(b) and Reg D 506(c) private placements
  • Proper use of smart contracts and token software
  • Token-based financial structures

Lunch

Is Reg A Right for My Company? (Panel)

  • Testing the waters
  • How Reg A enables a business to gauge public interest
  • Qualifying an offering state by state
  • Planning future expansion

Networking & Coffee Break

Down in the Trenches: What it’s Like to Steer a Company Through an Offering (Panel)

  • Understanding pitfalls to avoid by those who’ve been there
  • Getting the right legal advice
  • Promoting the offering
  • Dealing with the SEC

Using Reg A for ICOs (Presentation)

  • Preparing the offering documents
  • Marketing materials and compliance with securities regulations
  • Describing cryptocurrency and blockchain-dependent investment strategies
  • Third-party fundraising agreements, crowdfunding, and other capital raise structuring and compliance

Post-public Considerations (Panel)

  • When to flip out of Reg A and into Traditional Section 12 Periodic reporting requirements
  • Closing mechanics differ from typical offerings
  • Ongoing offering requires supplemental filings, post qualification amendments

What is it Going to Cost? (Presentation)

  • Budgeting for filing fees
  • Estimating legal, accounting and other service fees
  • Gauging the time commitment and burden of cost in document prep
  • Issues related to compensating broker-dealers and marketing consultants

Closing Remarks and Event Wrap Up

Cocktails & Reception Hosted by DLA Piper

Corporate Sponsors

Our sponsors are thought-leaders in the alternative finance industry. Corporate sponsorship provides unmatched exposure during a lengthy promotional campaign and the conference itself. Benefits include pre-conference publicity, logo and literature placement, exhibit space, online ad placement, and complimentary registration.

To become a sponsor, contact Charlie Napolitano at (516) 876-8006 extension 20 or charlie@dealflow.com.

Gold Sponsors

Cocktail Reception

Silver Sponsors

Promotional Sponsors

Venue

TKP New York Conference Center

The TKP New York Conference Center is conveniently located within walking distance of Grand Central Terminal, the Port Authority Bus Terminal, and Penn Station.

For this event, we have contracted to rent the entire 2nd floor facility to accommodate our attendees and sponsors.

REGISTER TODAY

TKP New York Conference Center

The TKP New York Conference Center is conveniently located within walking distance of Grand Central Terminal, the Port Authority Bus Terminal, and Penn Station.

For this event, we have contracted to rent the entire 2nd floor facility to accommodate our attendees and sponsors.

REGISTER TODAY
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