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Regulation A+: The Democratization of Capital

(188 Ratings)

Produced on: January 18, 2018

Course Format On Demand Audio

Taught by


Course Description

Time 60 minutes
Difficulty Intermediate

Regulation A+, or the “mini-IPO,” first came into effect in 2015 as part of the JOBS Act, and the streamlined pathway to public offerings has already had a significant impact on capital-raising strategies for emerging companies.

This program, taught by veteran securities attorney J. Sunny Barkats, will guide practitioners through the requirements of Regulation A+, offering practical tips for advising emerging growth companies on attracting and retaining capital while staying SEC compliant.

Learning Objectives:

  1. Discuss the types of companies that will benefit from raising funds through Regulation A+
  2. Identify eligible issuers and eligible securities
  3. Review the rules for Tier 1 and Tier 2 offerings
  4. Grasp the offering process
  5. Draft the relevant disclosures, statements and other required documents


J. Sunny Barkats

JSBarkats, PLLC

Sunny J. Barkats, Esq is the founding Partner of JSBarkats PLLC.

Mr. Barkats is recognized as a top corporate and securities attorney by his peers and Thomson Reuters’ subsidiary Super Lawyers, in New York, (as published in the NY Times) for 2014.

Mr. Barkats principally represents both established and publicly traded emerging growth companies, both domestic and foreign, in a wide variety of industries. He also represents venture capital firms, investment banking institutions, high net worth individuals and other investors.

His principal experience has been in private placements, mergers, acquisitions and dispositions, SEC compliance, public offerings, general 1933 and 1934 Act matters and strategic business relationships. He also represents issuers, underwriters, placement agents and others as well as lenders and financial participants, in mergers and acquisitions, IPOs, private equity, private placements and PIPE transactions. Mr. Barkats’ core practice focuses on the representation of small and mid-sized companies, particularly in the internet, defense, biotechnology, and “green” technology industries. Mr. Barkats is also a pioneer in crowdfunding and speaks on the JOBS Act on T.V and when solicited by conferences and industry professionals. It is under his leadership the firm became the national leader in Reg. A offering in 2013 and 2014 closing more financing than any other firm or even all firm combined nationwide for those two years.

Prior to founding the JSBarkats PLLC law firm Mr. Barkats built the Securities & Capital Markets group at an old mid-sized Manhattan firm. Mr. Barkats practiced with leaders in the alternative public offering (APO) and PIPEs community, such as at the international law firm of Haynes & Boone, LLP in New York, and the leading PIPE firm of Sichenzia Ross Friedman and Ference, LLP, where he experienced the current evolution of the industry and its ramifications for issuers. Because of his experience working with various clients across many major sectors and access to institutional relationships, Mr. Barkats is uniquely positioned to provide expert advice and insight to help companies attract and retain capital while complying with SEC requirements. Mr. Barkats is a frequent speaker on securities and business law topics.


Randi M.

Perfect overview of this topic

Lisa W.

Interesting. Thank you.

Kenneth C.

Informative presentation from a clearly knowledgeable practitioner. I found the information very valuable.

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