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On Demand Audio

Legal Issues in the Various Stages of Startup Financing

(1020 reviews)

Produced on October 26, 2015

Taught by
$ 59 Business, Corporate, & Securities Law In Stock

Course Information

Time 60 minutes
Difficulty Beginner

Course Description

Have your startup and small business clients been watching “Shark Tank”? Have they been asking you what is necessary to prepare their company to raise money from angel investors and venture capital funds? Have they been asking you hard questions about the terms to be negotiated with investors?


Join Gary J. Ross for an in-depth look at the different rounds of startup financing. Each financing round is examined in detail. The players, the most common types of investment vehicles (such as convertible promissory notes), and the relevant laws at each stage are presented. During the course of the program, Gary analyzes recent changes in laws applicable to startups, including the JOBS Act and Regulation “A+.” Gary ends the presentation with a discussion of the conclusion of the financing cycle, whether that be a dissolution, an acquisition, or an IPO.


Learning Objectives:

I.    Identify the different rounds of financing and the players involved

II.   Recognize the advantages and disadvantages of different forms of financing 

III.  Understand the securities laws that are relevant to each round of financing

IV.  Gain familiarity with the necessary documents in each round of financing

V.   Analyze key terms negotiated between startups and their investors 

VI.  Appreciate the ramifications of failure to follow the securities laws

VII. Comprehend what happens at the end of the startup financing cycle


Gary J. Ross

Ross Law Group, PLLC

Gary J. Ross advises venture capital funds, angel investors, and emerging growth companies a variety of transactional, disclosure, corporate governance and compliance matters. He founded Ross Law Group, PLLC in 2017, a boutique law firm that focuses on corporate and securities law, investment funds, and startup law. Gary previously worked at Jackson Ross, another firm that he founded, for four years, and previous to that he worked in the Corporate Transactions & Securities and Capital Markets practice groups at Sidley Austin LLP and Alston & Bird LLP. 

From 2009 to 2012, Gary served in the U.S. Department of the Treasury, where he managed conflicts of interest issues pertaining to contractors and financial agents engaged by Treasury to provide asset management, advisory, and other services relating to the Troubled Asset Relief Program (TARP). In that capacity, he developed and recommended compliance standards and regulation interpretation guidelines and designed the on-site testing carried out by the TARP audit department, during which he served as the subject matter specialist. He also helped draft the federal regulation for conflicts of interests as they pertained to TARP, and prepared the official conflicts of interest responses to Special Inspector General of the Troubled Asset Relief Program (SIGTARP) inquiries. 

Mr. Ross is an adjunct professor at Brooklyn Law School and Seton Hall Law School and has lectured at schools such as Penn State Dickinson Law. He has been quoted in articles in MarketWatch, Corporate Counsel, The New York Times and the Associated Press.

Gary received his J.D. from Northwestern Law School in 2004 and earned a B.B.A. from the University of Miami in 1994. Prior to attending law school, Gary worked as a Case Manager for the Tennessee Department of Human Services.

Gary is admitted to practice law in New York, the District of Columbia, and Georgia.



Jeffrey W.

Very helpful.

Randy B.

Very good job would be great to have a part 2.

Victoria K.

Very good presenter. Knowledgable and able to tell and sell the funding "story"

Terri A.

Great overview!!!!

Jennifer C.

Excellent class...very informative.


It was nice getting an understanding of the VC's mindset.

Jonathan D.

Amazing content!

Jeremy A.

Great course

Regina D.

Well done and informative

Stephen l. K.

good course

William M.

Nice summary.

William K.


Mark A. J.

Very informative and the materials are helpful.

Mark W.

Very clear presentation, but needed more time.

Robert B. F.

Great information & authority.

Kushal M.

nice intro on the subject

Alan F.

Very effective and brisk, practical overview of a lot of territory!

Christopher M.

He is the real deal. I'd like to see an advanced follow up.

James T.


John R.

Excellent presentation and very well presented by Gary Ross. Highly recommended for the subject matter and presentation.

Dena R.

Excellent presentation!

Jonathan B.

could have been 1.5 hours, was the best CLE from your company yet.

Marlon S.

Enough different material was presented so that I learn more then from other courses.

Veronica B.

Learned some things..

Kipp L.

Mr. Ross always does a nice job in his presentations.

Chukwuka O.

Great teacher!

Yvenne K.

Would have loved to have heard the rest of your presentation!! Maybe next time you can allot 2 hours. Thanks for a very good presentation!

Bhavik P.

I found the discussion of preferred stock, convertible promissory notes, and startup investment to be very interesting.

James B.

One of the best Lawline courses I have attended. Great job.

Napha T.

Great course!

Thomas D.

Very knowledgeable presenter!

benjamin h.

very engaging

Allie R.

excellent content

Matthew B.

Clear and concise especially when answering questions

Jessica B.

Good coverage of the topic

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