Illinois MCLE and National CLE Program Presenter Information

Steven H. Shapiro

Steven H. Shapiro

Steve Shapiro is a corporate partner in the firm’s Chicago office. He advises companies on spin-offs and works with sellers and buyers to complete mergers and acquisitions; assists underwriters and issuers in raising capital; and borrowers, lenders and venture capitalists in closing financings. As a former general counsel of a number of public companies, Mr. Shapiro also has extensive experience as a trusted advisor to companies, boards of directors and executives across a variety of disciplines, such as corporate governance, internal investigations, privacy issues, enterprise risk management, securities law compliance, contract management, executive compensation, investor relations, communications, corporate compliance and IT contracting.

Mr. Shapiro has published a number of articles on a wide variety of topics, is a nationally known speaker on issues of corporate governance and securities law, and an authority and advocate for legal issues that confront small and mid-cap companies.

Mr. Shapiro was named Corporate Governance Professional of the Year for Small and Mid-Cap Companies by Corporate Secretary Magazine in 2011 and Top General Counsel by First Chair in 2012. He has been profiled in Corporate Secretary Magazine, and Inside Counsel.









Program Info:

Raising Investment Capital: Private Placement and Exempt Transactions

Raising Investment Capital Private Placements and Exempt Transactions covers all aspects of investment capital including a detailed discussion of relevant securities laws, securities offerings, and private replacements. Also, most notable types of exempt transactions are listed. Various rules and acts such as Securities Act of 1933, Rule 701, and Rule 505 are examined and exemptions are clearly explained. Furthermore, the reasons and downfalls for public offerings are described.  The private replacements for Regulation D and Regulation A are also touched upon.

Relevant Securities Laws are discussed such as Sarbanes-Oxley Act of 2002; Anti-Fraud Rule; Regulation D and "safe harbor" for private offerings along with Employee Benefit Plans. Exempt Provisions  Securities Government and Bank Commercial Paper Industrial Development bonds and Transactions intrastate offerings, Regulation A Rule 701.

Raising Investment Capital: Private Placement and Exempt Transactions
Contact Information: 900 N. Michigan Ave.
Chicago , IL 60611
Phone: 312-915-3175