Securities Offerings to Employers Consultants and Advisors Under Rule 701

Topics in the outline include:

• The Exemption
• Preliminary Notes
• Non-Public Issuers
• Conditions To Be Met   
• Written Compensatory Benefit Plan or Contract               
• Eligible Offerees and Purchasers              
• Amount of Securities Permitted to be Offered and Sold               
• Disclosure Requirements            
• General Disclosure Requirements           
• Specific Disclosure Requirements for Sales Exceeding $5 million During Any Consecutive 12-month Period           
• Enforcement of Disclosure Requirements for Sales Exceeding $5 million During Any Consecutive 12-month Period           
• Competing Interests – Offering Securities to Employees versus Confidentiality of Non-Public Financial Information         
• Limitation On Resales    
• Application of Rule 144 
• JOBS Act Relief from Exchange Act Reporting

Download: Securities Offerings to Employers Consultants and Advisors Under Rule 701