Legal Issues in the Various Stages of Startup Financing

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