Houston - Registration and Regulations Relating to Small Security Transactions

May 19, 2017 08:30am -
May 19, 2017 09:30am

Event Description



The South Texas Chapter of the American Academy of Attorney-CPAs presents:

Regulations Relating to Small Security Transactions and the Avoidance of Civil and Criminal Penalties


Speaker: David M. Loev, JD and CPA

Program Description

All offers of securities either need to be registered with the Securities and Exchange Commission or there needs to be an exemption from registration.  Many people are not aware of this requirement.  This program includes information regarding what constitutes a "Security".  This program also provides information regarding the registration of shares with the Securities and Exchange Commission as well as common exemptions from registration that can be utilized to avoid the registration requirement of the federal securities laws.  Failure to comply with the federal rules and regulations relating to the offering of securities can lead to an issuer (and in some cases its officers and directors) being subject to civil and criminal penalties and fines and can further create rescission rights for investors in the non-compliant offering.


Learning Objective

This course will discuss federal securities laws including, what constitutes a "Security", general information regarding the offer of securities and the requirement to either register any offerings with the Securities and Exchange Commission or find an exemption from registration, and common exemptions from registration under the federal securities laws.


Date & Time                                                                    

Friday, May 19, 2017                                                                

8:30 a.m. - 9:30 a.m.  



FCA Offices, 791 Town & Country, Suite 250,  Houston, TX



NASBA-approved for 1.0 CPE credit in Business Law; State Bar of Texas approved for 1.0 MCLE credit.


Free Admission

Admission is FREE for all business professionals. For information on the cancellation policy please call 888-ATTY-CPA ext. 2.


About the Speaker

David M. Loev, JD and CPA

Managing Partner - The Loev Law Firm


David M. Loev founded the firm in January 2003. Prior thereto, David served as a partner at Vanderkam & Sanders, a law firm specializing in corporate/securities matters. Previous positions include serving as Chief Financial Officer, Treasurer, Secretary and General Counsel of PinkMonkey.com, Inc., an Internet publisher of educational study aids; also working as an associate at Brewer Pritchard, P.C., a law firm specializing in corporate and securities. David has represented a variety of public and private small to medium sized companies and has experience with public and private offerings of securities, SEC reporting, mergers and acquisitions, initial public offerings, up-listings to NYSE & NASDAQ, and federal securities law compliance. Click here to read David's full biography.

Additional Information

Delivery Method: Group-Live

Program Level: Overview

Prerequisites: None

Advanced Preparation: None
Who Should Attend? Attorneys, CPAs, Business Professionals

AAA-CPA continuing education programs are designed to meet the needs of Attorneys and CPAs and to qualify for credit both as CPE and CLE. Of course, the decisions of various state authorities determine the actual credit granted. There are no prerequisites or advance preparation requirements for this course. 

The American Academy of Attorney-Certified Public Accountants, Inc. (AAA-CPA) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org




Event Type:Chapter Meeting
Early registration ends on Apr 05, 2017.
Regular registration starts on Apr 06, 2017 and ends on May 20, 2017.
Late registration starts on May 21, 2017.