SEC COMPLIANCE – Securities vs Utilities by Ex SEC Attorney. #BLOCKCON

Agenda

Securities Laws – A Primer for the Crypto Curious

This half-day primer course will offer an introduction to the two most important federal securities laws: the Securities Act of 1933 and the Securities Exchange Act of 1934. It will explore the concept of a security and the implications of offering and selling securities in the U.S. or to U.S. Persons. The following topics will be covered:

1. Why do we need securities laws?
2. What is a “security” and who gets to decide?
3. Registration v. Exemption
4. What are my disclosure obligations? What about materiality?
5. Rule 10b-5 Anti-Fraud
6. Primary v. Secondary Offerings
7. What is the SEC? What are the SEC Divisions? And what do they do?
8. Crypto-Craze of 2017: DAO Report, Munchee, etc.
9. A closer look at the Director (Dir. William Hinman) of the Division of Corporation Finance’s “Digital Asset Transactions: When Howey Met Gary (Plastic)” speech.
10. What’s next?

NOTE: This is a closed door session. No audio/video recording and cell phones must be turned off.

INSTRUCTOR

Zachary Fallon: www.linkedin.com/in/zachary-fallon-51418b104/

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