Danger or Opportunity? Impact of New SEC Rules for Funding Solicitation

New SEC rules took effect on September 23, 2013 that lift the ban on “general solicitation” for exempt stock offerings, which means that an entrepreneur raising angel financing may now use public advertising to attract accredited investors. This change in the law opens up whole new opportunities for funding your company. But be careful! There are some significant gotchas with these new rules that can land a startup in trouble with the SEC. Come hear a panel of experts discuss the implications of these changes, and how they might affect the climate for raising early stage capital.

  Gary Kocher, Partner, K+L Gates.   Gary has 25 years of experience working with exciting, high growth companies. He counsels founders on business formation issues and works with companies on a wide range of matters, including financings, strategic partnerships and acquisitions, intellectual property creation and protection, and exit transactions. Over his career, Gary has represented more than 100 start-ups in connection with their formation and receipt of seed, angel, strategic and venture financing, including Clarisonic, Resonant Systems, HomePipe Networks, Klir Technologies, Twango, Ahnu Footwear, FlexCar, Redfin and Fridge Door. 

Nathan McDonald, President, Keiretsu Forum Northwest.  Nathan brings a unique entrepreneurial business and organizational development background developed during years of hands-on, active leadership and operational experience. As one of the Northwest’s leading organizers of entrepreneurial and investor relations-focused media and funding events, he has facilitated scores of engagements and successfully promoted hundreds of privately financed high-growth companies. Nathan co-founded, and currently leads as President, the Northwest Region of the Keiretsu Forum global angel investment group. Follow Nathan on Twitter at .

Dan Rosen, Chairman, Alliance of Angels and Board Member, Angel Capital Association. Dan is a founding member and long-time Chair of the Alliance of Angels. He is also President & CEO of Dan Rosen & Associates, a technology investment and advisory firm. Previously, Dan was a Founder and Managing Director at Frazier Technology Ventures, General Manager of New Technology at Microsoft Corporation, and General Manager for MSN. Prior to Microsoft, he served as Vice President and General Manager of AT&T Consumer Interactive Services and Managing Director for Northern & Eastern Europe. Follow Dan on Twitter at .

Joe Wallin, Attorney, Davis Wright Tremaine.  Follow Joe on Twitter at .



Bryan Brewer, Funding Quest. Bryan recently launched Funding Quest as an outgrowth of his 12 years as CEO of Business Plans Northwest, where he helped his clients raise more than $20 million in angel investment. The mission of Funding Quest is to help start-up CEOs raise angel investment by offering workshops, coaching groups, and individual consulting. Bryan holds a Bachelor’s degree from Florida State University and served as an officer in the United States Navy. Follow Bryan on Twitter at .


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