Online Course Catalog

Business Law Skills Series: The SEC's New Rule 506(c): Implications & Risks for Issuers & Investors

Continuing Legal Education

Public advertising and general solicitation has been prohibited in private placement securities offerings since the adoption of the Securities Act of 1933 (the “Act”). However, the recently adopted amendments to Rule 506 of Regulation D of the Act, which were required by the Jumpstart Our Business Startups (JOBS) Act and which will become effective on September 23, 2013, authorize public advertising and general solicitation in private placement securities offerings which are limited to accredited investors. These new final rules raise important unanswered questions for issuers and accredited investors alike (and their respective attorneys), and the SEC also proposed, while adopting the new final rules, additional rules that could also have a significant effect on the securities offering process.

This CLE program on the SEC’s New Rule 506(c) explores how the SEC's amendments to Regulation D, both final and proposed, may change your clients’ capital raising perspectives and alternatives by allowing, for the first time since the adoption of the federal securities laws, public advertising and general solicitation in certain private placement securities offerings. These much anticipated and long overdue rule changes carry many implications and risks for capital formation.

Please NOTE: Plus CLE members who select the free (no credit) registration option will not receive credit for viewing this program. If you wish to receive credit, please select the "Member" registration option.

Event Code
Course Length
0 hours  52 minutes
Credit Hours
1.00 CLE (General)
Mr. Eric Goodman, Ice Miller LLP
Business Law Section
October 17, 2013
IndyBar Education Center, 135 N. Pennsylvania, Suite 1500

Minimum Browser Requirements:   Internet Explorer 8+, Firefox 2+, Chrome, Safari 4+, Opera 9.5+ with Javascript

Registration Form

Registration Options

Member$32.50Login »
Business Law Plus CLE (no credit)$0.00Login »

Registrant Information

Event Policy

RESERVATIONS/CANCELLATIONS FOR LIVE EVENTS.  To ensure the utmost accuracy in our reservation records, the Indianapolis Bar Association cannot accept reservations over the phone for CLE seminars, luncheons, or other programming. Reservations must be delivered or mailed to the Indianapolis Bar Association office, faxed to (317)269-1915, or e-mailed to Reservations received less than 24 hours prior to an event and walk-in registrations cannot be guaranteed; they will be accepted on a space-available basis, will include an additional $5 charge, and may not include lunch. Cancellations must be made 48 hours prior to the program to receive a refund. If no cancellation is received, payment is due in full. For arrangements due to physical disability, please call the Indianapolis Bar Association at (317) 269-2000.

RESERVATIONS/CANCELLATIONS FOR ONLINE COURSES.  Your purchase provides a 30 day access from the time of purchase to view and complete the educational requirements of the Indiana CLE Commission.  Failure to complete the online course within 30 days will require you to re-enroll and purchase again in order to view and complete the education program.

NOTE: CLE credit will not be reported to the Indiana Supreme Court Commission for Continuing Legal Education (CLE Commission) until payment for the course has been received in full.  The CLE Commission will not approve online CLE credit if you previously received credit for the same live course.  It is your responsibility to monitor your credits.

OWNERSHIP AND USE OF IMAGES AND OTHER INTELLECTUAL PROPERTY.  All registrants, instructors, exhibitors and guests attending any Indianapolis Bar Association event acknowledge and agree (a) that they may be photographed and/or video-recorded during such event, (b) that any such photographs or recordings are solely the property of the Indianapolis Bar Association, and (c) that the Association may publish, duplicate, and otherwise use such photographs, recordings, and identifying information about the persons in the photographs and recordings to promote the Association and its services.