Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

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Minnesota CLE
Accreditation Info

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About This Course

Before a start-up or early stage company is ready for its first round of venture capital, known as a Series A Round or Series A Offering, it typically goes through a number of informal financing rounds. To that end, companies will turn to founders, friends and even family members. If it’s successful however, the Series A offering of securities will involve a series of steps.

This informative CLE course will offer a complete overview of the process including:

reviewing and updating a client’s capitalization table
drafting and negotiating term sheets with investors
amending a client’s organizational documents
drafting subscription agreements and other critical investment documents
registering a client for the SEC’s EDGAR database
filing Form D sales reports
determining the proper and relevant SEC and state law securities exemptions

Lecturer Bio

Clifford R. Ennico, Esq.

Cliff Ennico, Nationally Syndicated Columnist, Best-selling Author, Professional Speaker, Attorney

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.

A native of Yonkers, New York, Ennico is best known as the former host of MoneyHunt®, a fast-paced reality TV show for entrepreneurs that aired on PBS nationwide from 1994 to 2003. His weekly syndicated newspaper column, Succeeding in Your Business™, known as the “Ann Landers of the business world”, appears in dozens of major newspapers and business Websites throughout North America (www.succeedinginyourbusiness.com). He also hosts his own small business legal channel on YouTube (www.youtube.com, search for “Cliff Ennico”), and is a frequent contributor to Entrepreneur and other small business magazines.

Ennico is the author of several books on entrepreneurship and small business management, including Small Business Survival Guide (Adams Media) and The eBay Tax and Legal Answer Book (AMACOM, , and speaks nationwide on the legal and tax issues facing early stage startups (www.succeedinginyourbusiness.com). His newest book, The Crowdfunding Handbook (AMACOM, , advises small businesses and early stage companies on the benefits and risks of launching a crowdfunded offering of securities under Title III of the federal Jumpstart Our Business Startups (JOBS) Act of 2012. He is currently working on a book on the impact of technology on the capital raising process for technology startups.

As a lawyer, Ennico has represented over 15,000 entrepreneurial companies and small businesses in his 37-year career. Formerly associated with the New York City law firms of Willkie Farr & Gallagher and Thacher Proffitt & Wood, Ennico currently practices small business law in his own practice in Fairfield, Connecticut.

Ennico is the author or editor of several legal treatises for Thomson/West (legalsolutions.thomsonreuters.com), including:

Advising Small Businesses, a multi-volume treatise with forms for the attorney representing small businesses in the United States.
Closely-Held Corporations: Forms and Checklists, a one-volume handbook for lawyers representing closely-held corporations;
Forms for Small Business Entities, a comprehensive collection of legal forms and checklists for lawyers representing partnerships, limited partnerships, corporations and limited liability companies (LLCs);
Basic Legal Forms with Commentary, a collection of legal forms and checklists for solo practitioners and lawyers practicing in small firms;
Basic Legal Transactions, a step by step practice guide to a wide variety of business, estate planning, real property and family law transactions;
Advising eBusinesses, a one volume handbook on Internet law and practice; and the Business Corporation Law (BCL) and Not-for-Profit Corporation Law (N-PCL) volumes of West’s McKinneys Forms, the leading legal forms guide for New York State corporate lawyers.

Ennico holds a B.A. degree, magna cum laude, from Dartmouth College, and received his J.D. degree from Vanderbilt University School of Law, where he was Articles Editor of the Vanderbilt Law Review. He is a member of the Connecticut Bar Association, the New York State Bar Association, and the Fairfield County Bar Association.

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Accreditation and CLE Rules for Minnesota

Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

Minnesota CLEAccreditation Info

About This Course

This informative CLE course will offer a complete overview of the process including:

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