Managing Your Client’s Series A Offering of Securities: A Step by Step Guide

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Wisconsin CLE
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United CLE does not currently offer any courses that have been pre-approved by the Wisonsin Board of Bar Examiners (BBE). To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Before a start-up or early stage company is ready for its first round of venture capital, known as a Series A Round or Series A Offering, it typically goes through a number of informal financing rounds. To that end, companies will turn to founders, friends and even family members. If it’s successful however, the Series A offering of securities will involve a series of steps.

This informative CLE course will offer a complete overview of the process including:

  • reviewing and updating a client’s capitalization table
  • drafting and negotiating term sheets with investors
  • amending a client’s organizational documents
  • drafting subscription agreements and other critical investment documents
  • registering a client for the SEC’s EDGAR database
  • filing Form D sales reports
  • determining the proper and relevant SEC and state law securities exemptions
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