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This webcast covered the technical issues that arose from closing the first Reg A+ deal for Elio Motors. The webcast included commentary from the guys who actually dealt with the “administrivia” of getting the deal to market – and importantly, what they learned.
*Note: This was not a “general overview” of Reg A. This was a technical program for companies considering Reg A, and their advisors.
Pre-deal Marketing: Auditing requirements; testing the waters; deal marketing communications and solicitations of interest
SEC Filing Process: Filing Form 1-A; using EDGAR; preparing the offering circular; escrow and subscription agreements; other filing exhibits
The Offering Process: Engaging a transfer agent; blue sky filings; understanding escrow services; electronic/hardcopy certificate issuance; engaging other service providers to assist in the offering; FINRA’s Rule 5110
Post-offering Shareholder & Trading Issues: Maintenance of shareholder records; electronic trading and DTC eligibility; depositing share certificates in brokerage accounts; FINRA 15c2-11 approval; OTC and other trading venue options
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