Are Joint Venture Interests Subject to Securities Regulation? Out of Stock
M&A Breakfast CLE Series
Quantity
November 2011
Are Joint Venture Interests Subject to Securities Regulation?
M&A Breakfast CLE Series
Program Description
Many joint ventures are formed for a variety of purposes relating to financing and merger and acquisition activities. In some cases, securities regulators allege that the formation and capitalization of the joint venture involves the offer and sale of securities, which subject these joint ventures to securities regulation. In many of these cases, the promoters of the joint venture claim that a security is not involved, and therefore the securities regulators (the SEC or the Colorado Division of Securities) do not have jurisdiction. 2011 has seen three cases, two of which are ongoing, which provide guidance to all practitioners in determining whether joint venture interests are subject to securities regulation.
Herrick K. Lidstone, Jr., Esq., of Burns, Figa & Will, PC, will discuss these and other cases at the next M&A breakfast!
Who Should Purchase this Product:
- M&A Attorneys
- In-house Counsel
- Finance Industry Professionals
- Securities Regulators
… anyone who wants to know more about this complex aspect of a joint venture transaction!
Topics:
- Since the formation and capitalization of joint ventures involve the offer and sale of securities, are these joint ventures subject to securities regulation?
- Or … are securities not involved, leaving the SEC or the Colorado Division of Securities without jurisdiction?
- Guidance from three cases in 2011
Presented by Herrick K. Lidstone, Jr., Burns, Figa & Will, PC
Program Series Co-chairs:
Darren R. Hensley, Esq.
Hensley Kim & Holzer, LLC
Denver, CO
Hendrik F. Jordaan, Esq.
Morrison & Foerster, LLP
Denver, CO
Faculty:
Herrick K. Lidstone, Jr., is a shareholder of Burns Figa & Will, PC, and has practiced law in Denver since 1978. He practices in the areas of business transactions, including partnership, limited liability company, and corporate law, federal and state securities compliance, mergers and acquisitions, contract law, tax law, real estate law, and natural resources law. His work includes the preparation of securities disclosure documents for financing transactions, as well as agreements for business transactions, limited liability companies, partnerships, lending transactions, real estate and mineral property acquisitions, mergers, and the exploration and development of mineral and oil and gas properties. Mr. Lidstone has presented more than 45 papers at continuing education conferences. He is the author of “Securities Law Deskbook” (Bradford Publishing Co., 2006, supp. 2007-11), and has written numerous articles on business and securities law for The Colorado Lawyer and other publications. Mr. Lidstone was first appointed to the Colorado Securities Board in the Colorado Department of Regulatory Agencies 1999, and reappointed July 2008 for a fourth consecutive term that ended on July 1, 2011.
- CLE Pass Price *FREE! - exclusions may apply
- Standard Price $59.00 USD
- Member Price $39.00 USD
- General Credits 1.00
- Ethics Credits
- EDI Credits