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Event Details

SEC Crowdfunding Proposal

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Wednesday, December 11, 2013

The SEC's Crowdfunding Proposal – A Preliminary Look
Co-sponsored by the Business Law Section and the International Section

Live program in NYC and FREE Webcast

View Webcast Here

Streamed live 12:30-2:30pm (EST), December 11, 2013
(Registration and lunch at Noon for on-site attendees)

Note: Online registration for this webcast is now closed. You may still view the webcast at the above link, but registration is nevertheless recommended for administrative purposes, and in the event that there is follow-up after the event. You may register by calling the State Bar Service Center at 800-582-2452, or you may email your name and contact information to BusinessLaw@nysba.org.

This October, the Securities and Exchange Commission voted unanimously to propose rules under the JOBS Act to permit companies to offer and sell securities through crowdfunding. (The 585-page proposed rules are available on the SEC's site here.)

The Business Law and International Sections of the New York State Bar Association are pleased to partner in presenting a panel on this late-breaking topic, offered both live in New York City and webcast.

Join us for an early look at key issues raised by this proposal, and what it might mean for practitioners. Register online below, or contact the State Bar Service Center during business hours at 800-582-2452 (event code: BUSDE13).

This will be a non-CLE webcast. For on-site attendees, under New York’s MCLE rule, this program has been approved for a total of up to 2.0 credit hours in areas of Professional Practice. This course will not qualify for credit for newly admitted attorneys (less than 24 months) because it is not a basic skills program.

Light lunch on site provided compliments of Duane Morris at 12:00pm. Program begins promptly at 12:30pm.

Topics Covered:

  • Issuers and Investors: Who can make a crowdfunding offering and who can participate as a crowdfunding investor?
  • The Crowdfunding Offering: What are the disclosure requirements on issuer, financial statement requirements, integration with other offerings and related issues?
  • The Intermediaries: Crowdfunding portals, broker/dealers and trading issues.
  • Crowdfunding in Action: Practical implementation, costs and liabilities.
  • Questions and Answers – including remote email Q&A by those watching the webcast. If time permits.


  • Leila Bham, Esq., Securities and Exchange Commission Trading and Markets Division
  • Doug Ellenoff, Esq., Ellenoff Grossman & Schole LLP (known to many as “Mr. Crowdfunding”)
  • Azish Filabi, Esq., Assistant Vice President and Ethics Officer, Federal Reserve Bank of New York
  • Jay L. Hack, Esq., Gallet Dreyer & Berkey, LLP, Chair, Business Law Section, New York State Bar Association
  • Kiran Lingam, Esq., General Counsel at Seedinvest, a Crowdfunding portal
  • Georgia Quinn, Esq., Seyfarth Shaw, LLP, member, Securities Regulation Committee, Business Law Section 


On-Site Program: No charge for Business Law and International Section members
$40 for all others

Webcast: No charge

Note: on-site seating is limited, and pre-registration is required.

Questions? Contact BusinessLaw@nysba.org.

Duane Morris
1540 Broadway (at 45th Street)
New York, NY 10036
Online registration for this event is closed. Please contact the State Bar Service Center at 800-582-2452.