Velocity Law, LLC

Speeches and Speech Notes

Date Speeches, Interviews, Publications, Articles
Jan 2021 “Surviving Due Diligence of an Investor or M&A Buyer of Your Business” Small Business Advisory Council “SBAC”, Chicago. Patti Zikmund
 
Past Speaking Engagements and Articles & Publications
Date Speeches, Interviews, Publications, Articles
11/10/2020 — “Top 20 Legal Mistakes by Startups and Small Business” 11/10//20
— “Raising Equity Capital – Deal Docs, Deal Terms, Securities Law” 12/01/20
— “Contract Tips and Tricks” 1/00/21
— “Preparing to Sell Your Business” 2/00/21
IncBuilders (Chicago and global), Parind Shah, Founder of IncBuilders Platform.
My Legal Talks are in a Multi-Part Webinar Series for Small Business, starting on 11/10/2020, throughout 1st quarter 2021.
11/09/2020 “Top 20 Legal Mistakes by Startups and Small Business Owners”. Downers Grove Public Library; Joy Matteson
10/30/2020 Corporate Law for Law Firms: Legal, Compliance, Firm Governance Issues for Law Firms. Friendly Lawyers Association, Chicago. Dana Za
9/9/2020 “Top 20 Legal Mistakes by Startups and Small Business Owners”. Small Business Advisory Council, SBAC, Chicago, Patti Zikmund
6/19/2020 “Reps and Warranties – Buyer’s Perspective” (of a Business). Partner on Call, Ted Leverette, Business Buyer’s Advocate, Palm Beach FL
3/24/2020 “Top 20 Legal Mistakes by Startups and Small Business”. The Women’s Business Development Center, Aurora, IL Terri Simmons and Aisha McBurrows
3/9/2020 “Legal Tips and Tricks for Small Business Owners”. American Club Association, Business Group: Maritess Bott, Chair.
2/21/2020 “Piercing the Corporate Veil” CLE Program by the DuPage County Bar Association. Co-Panelist with former Litigator Az Nazimuddin. He will cover the veil piercing factors and I will cover the corporate law preventive factors
11/19/2019 “Preparing the Business for Sale”. At the Calamos Business Owner Strategy Group. Chair Kristi Wano and Christine Kadjeron, at Calamos Investments, Naperville, IL
8/7/2019 SCORE Fox Valley – “Ladies Who Launch Conference” Facilitated and Spoke on a Roundtable on “Top 20 Legal Mistakes by Startups”. Michele Marko, Bolingbrook, IL, Fox Valley SCORE.
http://events.r20.constantcontact.com/register/event?llr=fgecyecab&oeidk=a07eghejqkk9a676ecf
https://foxvalley.score.org/event/final-days-save-30-ladies-who-launch-conference
12/17/2018 Inc Builders, “Using Start-Up Equity to Pay for Goods and Services: Upsides and Downsides”. Parind Shah, 1871 Chicago, Merchandise Mart.
11/09/2018 “Rapid Fire Response to Startup Questions”, served on panel at the “STEAMfest” Technology, Science and Robotics Conference for Women in STEM and STEAM. At Hubb88 (tech incubator center) in Naperville, IL. Martha Carney mcarney@outsourced-innovation.com
11/09/2018 “Rapid Fire Response to Startup”, serving on panel at the “STEAMfest” Technology, Science and Robotics Conference for Women in STEM and STEAM. At Hubb88 (tech incubator center) in Naperville, IL. Martha Carney
11/07/2018 “The Investment Thesis / Developing Your Funder Thesis”. Dymynd Angel Evolution, Investor “Member’s Circle”. Serving on a panel before a group of Angel Investors in Chicago. At EvolveHer, 358 W Ontario, Chicago, IL Carolyn Leonard partner of Dymynd Angels Carolyn Leonard
10/19/2018 “Top 20 Legal Mistakes for the Startup and Small Business Owner” and “Preparing to Sell Your Business”. Small Business Development Center, Center for Entrepreneurship, Lisle, IL, as part of the Series: “Art of Starting a Business”. Ute Westphal, Maryellen Schlosser and Rita Haake, Program Managers & Client Liaison. Ute Westphal, Program Manager
09/20/2018 “Preparing Your Client’s Business for Sale” (Lawyer CLE Training) for DuPage County Bar Association, CLE Program, presented by the Business Law Committee. DCBA Liaison, Robert Rupp Rick Lofgren CLE Program Chair, Allison Cychosz and Rick Lofgren, Business Law Section Council Chair
06/20/2018 Sale of Business: Choice of Entity & Legal Tips, XPX Chicago (Exit Planning Exchange), Panel of 4 lawyers. Oak Brook Hyatt Lodge. Peter Holton, Board Member of XPX and Programs Committee Member
05/20/2018 “Surviving Your Investor Due Diligence” talk presented at the “FinFoundHer” Conference in Chicago (a Financial Technology “FinTech” Women’s Start- up and Scale-up Conference, 2-days, 40 speakers, 88 attendees). Kristin Fox Conference Organizer; Brazen Chicago; At “EvolveHer, Chicago”.
05/19/2018 “Top 20 Legal Mistakes by Startups - Funding Your Fintech Business” (Covering Corporate Law & Governance, and a smattering of general legal topics, addressing Legal Due Diligence Prep for Funding (or Selling) Your FinTech Business”. “FinFoundHer” Conference in Chicago (a Financial Technology “FinTech” Women’s Startup and Scale-up 2-day Conference, 40 speakers, 80 attendees). Kristin Fox Conference Organizer; Brazen Chicago @ “EvolveHer, Chicago”. Kristin Fox
05/11/2018 “Legal Hour” in “The StartUp Guide for Business”, Small Business Development Center, Center for Entrepreneurship, Lisle, IL, as part of the half day program “ StartUp Guide for Business”. Ute Westphal, Marla Sandy, Maryellen Schlosser, Rita Haake, Program Managers &Client Liaison. Ute Westphal, Program Manager
02/19/2018 “Top 30 Legal Mistakes for the Startup and Small Business Owner” and “Preparing to Sell Your Business”. Small Business Development Center, Center for Entrepreneurship, Lisle, IL, as part of the Series: “Art of Starting a Business”. Marla Sandy, Ute Westphal, Maryellen Schlosser and Rita Haake, Program Managers & Client Liaison.
02/14/2018 Top 10 Legal Mistakes by Start-ups. Women’s Business Development Center, Aurora. Webinar. Tia Juarez and Terri Simmons.
10/24/2017 “Securities Law for the Non-Securities Lawyer”, Covering SEC’s new Rules on Reg D 506(c), Reg D 504, DuPage County Bar Association, CLE Program, presented by the Business Law Committee. Robert Rupp and Brad Costello, chairs.
10/09/2017 “Securities Law for Businesses Raising Capital – New SEC Rules for Funding”. University of Chicago Booth School of Business Entrepreneurial Roundtable. Event hosted at National Lewis University in Lisle IL. William Price, co-panelist
09/28/2017 “Securities Law for the Non-Securities Lawyer”. American Bar Association Webinar to 380 attendees. Presented by the “Middle Market and Small Business Committee” and the “Federal Regulation of Securities Committee”. Greg Yadley Moderator
09/18/2017 “Top 30 Legal Mistakes for the Startup and Small Business Owner” and “Preparing to Sell Your Business”. Small Business Development Center, Center for Entrepreneurship, Lisle, IL, as part of the Series: “Art of Starting a Business”. Marla Sandy, Maryellen Schlosser and Rita Haake, Program Managers & Client Liaison.
05/19/2017 “Top 20 Legal Mistakes Made by a Growing Business”, at the event “Business Fundamentals Bootcamp - “Strategies for Growing Your Business” at Northern Illinois University in Naperville, IL Gina Sabelli and Dawn Hershik.
http://www.supportingstrategies.com/bootcamp (Chicago Bootcamp)
http://www.supportingstrategies.com/bootcamp-chi17
05/15/2017 “Lean Planning for Startups” program at Schaumberg District Library; “Legal Issues for the Startup”, Tia Juarez, Associate Director of Women’s business Development Center, Aurora
05/15/2017 “Top 30 Legal Mistakes for the Startup and Small Business Owner” and “Preparing to Sell Your Business”. Small Business Development Center, Center for Entrepreneurship, Lisle, IL, as part of the Series: “Art of Starting a Business”. Marla Pacheco Sandy, Maryellen Schlosser and Rita Haake, Program Managers & Client Liaison.
04/24/2017 “Starting the Business Right”, “Top 20 Legal Mistakes Made by a Growing Business”, event hosted by LabasConnect in Oakbrook Terrace, IL Dange Durett.
09/23/2016 “Legal Topics for Entrepreneurs” “Top Legal Mistakes for Startups”, and “Issues for Entrepreneurs Raising Capital”, Venture FWD Summit (For Women and Diversity), Kimpton Gray Hotel, Chicago, panel discussion, hosted by conference promoter “Brandless” of Chicago, and its owners Ric Gruber and Michael Donnelly.
http://venturefwd.io/event/1892
https://www.youtube.com/watch?v=RlrpjE1ShGo&feature=youtu.be
09/16/2016 “Legal Issues for the Startup” and “Top 13 Legal Mistakes for Startups”. Small Business Development Center, Center for Entrepreneurship, Lisle, IL. “Art of Starting a Business”, Marla Pacheco, Program Manager & Client Liaison
http://ilsbdc.ecenterdirect.com/events/28142
07/18/2016 “Legal Issues for the Small Business Owner”. Small Business Development Center, Center for Entrepreneurship, College of DuPage, Lisle, IL. “Art of Starting a Business –Marla Pacheco, Program Manager & Client Liaison
https://ilsbdc.ecenterdirect.com/events/28141 and
https://www.facebook.com/events/299571633722471/
05/16/2016 “Legal Issues for the Startup and Small Business Owner”. Small Business Development Center, Center for Entrepreneurship, College of DuPage, Lisle, IL. “Art of Starting a Business –Marla Pacheco, Program Manager & Client Liaison
https://www.facebook.com/events/1606665239661203/
02/22/2016 Rev3 Innovation Network, "Crowdfunding - Review of Crowdfunding, Regulation CF in JOBS Act, Regulation A, Regulation D Rule 506(c) and Rule 504 - Methods for raising capital in small public offerings; Illinois and Federal Rules", Rev3 Innovation Center at Northern Illinois University, Naperville, IL. Director, Nicolas Zito
04/19/2015 Chicago Business and Professional Network: "Starting or Operating a Business - Legal Issues". Marriott Hotel, Schaumburg, IL. Ramsarma Konduri, organizer and chair.
03/3/2015 Center for Economic Development of Westchester, Illinois and Westchester Chamber of Commerce: “Legal Issues for the Business Owner”. Joe Mills, Chair of the Westchester Economic Development Center
11/7/2014 Entrepreneurship Conference, “Ideas to Profits Conference”, at the Illinois Small Business Development Center (the College of DuPage Center for Entrepreneurship.) Panelist on the “Financing” Panel, covering topic, “Investor Offerings, Crowdfunding, Crowd Sourcing” and Securities Law Issues facing entrepreneurs. Martha Carney, facilitator and conference Chair.
10/22/2014 Business Plan Pitch Contest, Judge on Panel of 6 at Rev3 (Naperville Incubator), program by the Small Business Development Center in Lisle/Naperville.
11/4/2013 “The Entrepreneurship Thing (Conference & Clinic)”, University of Chicago Graduate School of Business, Gleacher Center, Chicago, IL. Roundtable discussion with legal and business advisors; I served on the “Ask a Lawyer”, roundtable, addressing “Top 10 Legal Mistakes in Formation, Early Operation” and “Preparing to Raise Capital”. Enrique Posse and Khloe Karova, facilitators.
9/27/2013 “The Corporate Counsel”. “Death by Expense to Crowdfunding” Published a blog article on 9/26/13. http://www.thecorporatecounsel.net/Blog/2013/09/ Broc Romanek publisher. http://www.thecorporatecounsel.net/blog/index.html
9/9/2013 “Law for Entrepreneurs: a Practical Guide to How to Launch and Operate a Startup”. University of Chicago Graduate School of Business – Entrepreneurial Roundtable, Gleacher Center of U of C Booth School, Chicago, IL.

Dynamic roundtable conversation with law experts on the subjects that most interest entrepreneurs, Actionable direction of how to proceed next. I served on the roundtables, presenting “Top 10 Legal Mistakes in Formation and Early Operation”. Enrique Posse and Khloe Karova.
2/20/2013 “Legal Issues for the Start-Up Business”, The Women’s Business Development Center, Chicago, Featured Speaker. Meg Whitman, Program Director.
4/11/2012 Featured Speaker for the R.E.A.L. (An Education and Networking group of real estate investors in Chicago area). Topics I covered: "Business Law Issues for Real Estate Investing", and "Securities Law issues for Real Estate Investing With Other People's Money".
Speech Notes:
Business Law Issues for the Real Estate Investing Business - 4-11-12 - Final
Business Law & Securities Law for Real Estate Investing - Nancy Fallon-Houle 4-11-12 With Website, Employment, Contracts
Handouts - Table of Contents - Business Law Items for the Real Estate Investment Business - REAL - 4-11-12
Securities Law Issues for the Real Estate Investing Business - REAL Event 4-11-12
Securities Regulation and Exemptions for Private Funds - Hedge, VC, PE, Real Estate Funds 4-11-12
Nancy Fallon-Houle - Speeches Articles 4-12-12
1/18/2012 to 4/2013 Served on, the Advisory Board of the “Technology, Innovation & Entrepreneurship Services Program (“TIES”)”, at the “Center for Entrepreneurship” at the Illinois Small Business Development Center and the College of DuPage in Lisle, IL. Richard Strezo Co-coordinator TIES, and David Gay, Manager, Illinois Small Business Development Center. Program lost its funding from COD in April 2013.
8/16/2012 “Succession Planning for Your Business – Sale of Business for Retirement”. Addressing legal, accounting and business issues for the business owner planning to sell their business. The "Law" speaker on a Panel of three topics: Law, Accounting and Business Succession Coach. West Suburban Women Entrepreneurs, host.
Outline - Legal Issues for the Business Owner - Starting or Operating a Business 11-17-11 WSWE Speech by NFH
8/14/2012 DuPage County Bar Association’s Legal Action TV Show: Shooting/Filming by NCTV17, “Starting a Business”. Speaker on a panel of 3, with two other lawyers. (Shown on Naperville TV station 17)
11/17/2011 Featured Speaker for West Suburban Women Entrepreneurs presentation "Business Law Issues for the Business Owner". A soup to nuts, high level general overview of 36 business law topics that affect the entrepreneur and the small business from, formation through operation, sale, funding and dissolution.
Speech Notes:
Legal Issues Triggered By Transactions of Small Business or Growth Company - Nancy Fallon-Houle 11-15-11 copy on speech day
Outline - Legal Issues for the Business Owner - Starting or Operating a Business 11-17-11 WSWE Speech by NFH
Handouts - Table of Contents - Legal Information for Entrepreneurs 11-16-11
8/6/2011 American Bar Association CLE program "Representing the Start-Up Company" at the ABA annual meeting. I wrote the outline and handout materials, and was slated to speak, but was not able to attend due to a schedule conflict. A colleague gave my presentation from my materials. The ABA published my materials.
8/31/2010 Published two Articles in the Book: "Representing Start-Up Companies," published by Lee R. Petillon, 17th edition, 2010. My articles published were: "Money Finder and Public Shell Scams" and "Con-Artist Mentality and Characteristics".
7/12/2010 Joined Editorial Advisory Board for the Market Rulebook's "Middle Market Securities Report." (by Invitation of Craig McCrohon (Burke Warren in Chicago)
12/10/2009 Featured speaker for the DuPage County Bar Assn. lawyers continuing legal education program in the Business Transactional Law Series Part II: "Pit Stops and Finishing the Race: Representing Business Clients in Transactional Events and Changes to Company Ownership". Presented by DuPage County Bar Association Business Law Committee.
Speech covered Transactional Techniques and Tips, and Securities Law Issues, for Corporate Split-Ups, Adding or removing Shareholders, Raising Equity Capital from Investors, and Buying or Selling a Business.
11/9/2009 Featured speaker for the DuPage County Bar Assn. lawyers continuing legal education program, in the Business Transactional Law Series Part I: "Out of the Starting Gate, Into the Race: Representing Entrepreneurs, Start-Ups and Growth Companies in Pre-Formation, Formation and Small Business Operations." Presented before the DuPage County Bar Association Business Law Committee.
Speech covered legal and business issues, tips and tricks, and traps for the unwary, for lawyers representing business clients: Who Owns the Intellectual Property, Noncompetes Preventing Business Start-Up, Trademark issues triggered by entity name selection and search, entity formation checklist, corporate structure and ownership recommendations, corporate formalities to avoid piercing the corporate veil, registration for taxes, licensing and regulatory compliance, shareholder agreement basics (the "business pre-nup", use of technology, legal issues in website use, email blasts, social networking; due diligence is king, conflicts of interest and disclosure, employee classification (employee vs. contractor); use of noncompetes; general contracts tips and tricks, litigation avoidance protocols.
3/19/2009 Speaker on the panel "Legal Issues for Start-Ups and Emerging Businesses" at the Northern Illinois University - Illinois Technology Enterprise Center (ITEC) and DuPage National Technology Park co-sponsored full-day conference: "DuPage County Minority Entrepreneur Conference". I co-wrote and co-presented the legal panel including "Legal Issues with Starting and Operating a Business", from start up to early stage to growth stage, name selection, noncompetes, trademark, corporate structure, shareholder agreements, business law issues, contracts, employees, securities laws, raising capital and selling the business. http://www.dcmec.org/
October 17, 2007Featured Speaker on Conference Call Presentation "Securities Law Issues Related to Real Estate Private Placements and Real Estate Funds", before the IRA Association of America, and addressing issues related to issuing a real estate fund, or real estate private placement. (An industry group focused on Investment of Private Equity Assets and Real Estate Assets), comprised of financial advisors, private equity investors, real estate brokers, developers
October 11, 2007Featured Speaker at a presentation to the National Association of Professional Organizers: "Business Law Issues for Forming and Operating a Small Business.
April 26, 2007Panelist and Moderator, Lorman Education, Full Day Seminar featuring 6 lawyers speaking on topics addressing: "Owner Changes in Privately-Held Business Entities: LLCs, LPs and S Corps Additions, Distributions & Liquidations". My topics are: "Corporate Law & Securities Law Issues Involved in Additions, Distributions, Redemptions, Transactions, and Liquidations". Naperville, IL
April 2007Panelist, Lorman Education, "LLCs, LPs and S Corps - Distributions", my topic "Corporate Law & Securities Law Issues With Distributions, Redemptions, Liquidations". Oak Brook, IL
October 3, 2006Panelist, DuPage County Bar Association, Business Law Committee - "Business Succession Planning", 2 Part-Series, Wheaton, IL. My topic "Private Placement Securities Law Overview - Pitfalls of Issuing Securities as Part of Your Business Succession Plan".
June 19, 2006Panelist, SCORE Women's Business Workshop - Entrepreneurship Program: "Starting a Business". My topic, "Legal and Business Issues in Forming and Operating an Illinois Business; Overview of Issues Triggered by Raising Capital from Investors". Glen Ellyn, IL at College of DuPage. http://www.scorefoxvalley.org/
May 19, 2006Panelist, DuPage County Bar Association, Business Law Committee - "Business Succession Planning", 2 Part-Series, Wheaton, IL. My topic "Private Placement Securities Law Overview - Pitfalls of Issuing Securities as Part of Your Business Succession Plan".
November 4, 2005Panelist, Lorman Education Series "Advanced LLC and LPs - Organization, Operation, Tax and Securities Issues" Oak Brook, IL. My topic "Corporate Law, Formation and Securities Law Issues"
May 18, 2005Panelist, Opal Emerging Manager's Summit, Chicago Renaissance Hotel "Starting and Operating a Private Hedge Fund: Legal and Accounting Pitfalls, Tips and Tricks"
October 30, 2004Panelist, Lake Forest Graduate School of Management "Entrepreneurship Program" Lake Forest, IL. My topic "Legal and Securities Law Issues in Entrepreneurship"
September 27, 2004Panelist, Chicago Mercantile Exchange - "Meet the Experts" program: "Start-Up & Emerging Funds - Legal and Accounting Issues" Chicago, IL. My topic "Corporate and Securities Law Issues in Starting & Managing a Fund, Managing an Emerging Fund, and Raising Capital for a Fund"
April 16, 2004Panelist, Illinois State Bar Assn's CLE Program (full - day seminar) presented by the Corporation & Securities Section, the General Practitioner's Section, and the Young Lawyers Law Section, "Legal and Business Issues in Forming and Operating an Illinois Business" Chicago, IL at ISBA Regional Office.
January 12, 2004Guest Speaker, Lake Forest Graduate School of Management, MBA Program, Class "Entrepreneurship", addressing the class for the evening on "Legal and Business Aspects of Raising Equity Capital".
November 17, 2003Panelist, University of Chicago Graduate School of Business, Program on "Raising Equity Capital to Grow Your Business" - Start-Up to M & A to IPO". My topic: "Corporate & Securities Law Issues in Raising Early Stage and Emerging Company Equity Capital". Presented in Chicago at IIT Rice Campus, Wheaton, Illinois.
October 24, 2003Panelist, Illinois State Bar Assn's CLE Program (½ - day seminar) presented by the Corporation, Securities and Business Law Section, entitled "Financing Issues for the Growing Business Client". My topic: "Securities Law Issues Facing the Growing Business in Raising Equity Capital in current Private Placements, or in Anticipation of IPO or Acquisition". Presented in Chicago at ISBA Downstate Regional Office, Bloomington, Illinois
May 14th, 2003Panelist, Chicago Mercantile Exchange - "Meet the Experts" program: "Start-Up & Emerging Funds - Legal and Accounting Issues". Chicago Merc. My topic "Corporate and Securities Law Issues in Starting & Managing a Fund, Managing an Emerging Fund, and Raising Capital for a Fund".
May 7, 2003Panelist, Illinois State Bar Assn's CLE Program (full day seminar) presented by the Corporation, Securities and Business Law Section, entitled "Taking the Growing Business Client to the Next Financing Level". My topic: "Securities Law Issues Facing the Growing Business in Raising Equity Capital in current Private Placements, or in Anticipation of IPO or Acquisition". Presented in Chicago at ISBA Regional Office, 20 S. Clark. Additional Sessions to be subsequently presented in other Illinois locations in the fall of 2003.
3/5/2003Panelist, Bear Stearns-Sponsored program "Start-Up & Emerging Funds - Avoiding Pitfalls". LaSalle Club, Chicago.. My topic "Corporate & Securities Law Issues in Starting a Fund, or Managing an Emerging Fund"
3/3/2003Guest speaker, Illinois Benedictine University (Lisle, IL) MBA Program's class on "Financing Start-Up Technology Ventures". Addressing MBA Students and entrepreneurs, my presentation covers the "Corporate Law Aspects of Entity Formation", and "Securities Law Implications of Financing a Small Business". Invited guest of professor Tom Sleeter.
3/4/2002Guest speaker/panelist, Columbia College (Chicago), before the class "Management Applications on the Web - Advanced Seminar on e-Business", session on "Financing Alternatives for Start-Up and Emerging Businesses". Addressing undergrad and grad students and entrepreneurs, on a panel of 3 invited guests of professors David Steiner and Mark Kaufman.
2/25/2002Guest speaker, Illinois Benedictine University (Lisle, IL) MBA Program's class on "Financing Start-Up Technology Ventures". Addressing MBA Students and entrepreneurs, my presentation covers the "Corporate Law Aspects of Entity Formation", and "Securities Law Implications of Financing a Small Business". Invited guest of professor Tom Sleeter.
9/18/2001Elected as one of 24 lawyers statewide, to serve on the Illinois State Bar Assn's Section Council for Securities, Corporate and Business Law, as a leader in the ISBA. Elected by other Section Council Leaders.
9/5/2001 to 9/7/2001Selected as one of 48 delegates nationwide, to serve on the U. S. Securities & Exchange Commission's Small Business/Government Capital Formation Forum. In meetings before SEC Commissioners, proposed legislation to help small businesses raise capital more efficiently, Commissioners expected to discuss with Congress on issues presented. Selected by the SEC's Small Business leaders.
4/09/2001Featured Speaker, IIT-Chicago Kent Law School, Entrepreneurship Program, Addressing Lance Williams' Law School Class in the Entrepreneurship Clinic, and Teaching them the session on Corporate and Securities Law, Private Offerings and Preparation for IPO or Acquisiton as training for Lawyers Representing Entrepreneurs.
2/23/2001Featured Speaker, Herrick Middle School, Career Day, Presentation on Being a Business Lawyer.
2/24/2001, 1/25/01, and 11/1/2000Panel Member, Film Financing - Part II and Part III: Corporate Structure, Securities Law Compliance; Securities Disclosure; Budget Planning and Spending; Investor Payout Options, Chicago, IL, Sponsored by the IFP (Independent Feature Project), CAVA and SMS Productions, at the Hilton Hotel, SMS Productions and the University of Chicago Gleacher Center. Panel Members Timothy Kelley, Nancy Fallon-Houle, and Bob Labate and discuss in depth and detailed issues involved with equity film financing.
8/10/2000Panel Review Member for the Illinois Coalition's Technology Development Bridge Program. Selected by the Illinois Coalition to serve on a panel of 12 experts. We reviewed the business plan and presentation of a start-up company, and passed on the merits and viability of the company as a potential investment for the Illinois Development Finance Authority.
5/25/2000Guest speaker, Illinois Benedictine University (Lisle, IL) MBA Program's class on "Financing Start-Up Technology Ventures". Addressing entrepreneur-MBA Students, my presentation covered the "Securities Law Implications of Financing a Small Business", as an invited guest of professor Tom Sleeter.
4/29/2000Panel Member. "Truth or Myth of Filmmaking", ½ day seminar sponsored by the Chicago Academy of Visual Arts and the Illinois Film Office. Taped for cable airing by Chicago Cable Access. Panel of 12 speakers throughout the day addressed the big picture angles of all aspects of assembling a film production from pre-production through post-production, and legal issues. I presented securities law issues implicated by fundraising in film deals.
11/1999Publication Submitted in November 1999. The SCOR Report (Small Corporate Offering Registration): I submitted two securities law summary charts comparing conditions and issues in small public offerings and private offerings. SCOR Report is published by Tom Stewart-Gordon, of Houston, Texas, advocate of small issuers.
11/1/1999, 10/15/1999, 10/11/1999, and, 9/13 to 9/14/1999SEC Submission 11/1/99. On behalf of the Securities and Exchange Commission's Small Business Forum (9/13 to 9/14/99), I wrote the proposed federal securities legislation for new Regulation D Rule 509, which adds an "Accredited Investor Solicitation for Regulation D 506 Offerings". I was a leader in formulating the proposal, and heavily active in the discussions of the proposal. The discussions and proposals were conceived by a group of 30 small business advocates from across the country: issuers, regulators and securities lawyers. I was selected to draft the proposal because of my experience with, and knowledge of, Regulation D, and because of my clear writing style and my passion for the need for the proposal. Along with 7 other securities lawyers across the country, we refined the proposal and submitted it to the SEC. In addition, I managed and synthesized email comments from the group, submitted the proposal to the SEC, responded to comments from the SEC, and resubmitted the final proposal to the SEC. We hope for passage of the new legislation in 2000. SEC submission on 11/1/99.
10/20/1999Panel Member. Spoke at the Managed Account Reports (Hedge Funds) 5th Annual International Conference on Offshore Funds, at the Southampton Princess Hotel, in Bermuda, on the panel entitled "U.S. Regulatory Requirements for Offshore Funds". My topic was "U.S. Securities Law Requirements for Hedge Funds". I spoke on federal 1933 Act requirements; as well as Reg D vs. 4(2) analysis, Blue Sky and '34 Act broker-dealer Issues. Fred White of Gardner Carton & Douglas, a pre-eminent expert on commodities law, spoke on '40 Act, ERISA, and tax and commodities issues.
10/5/1999Panel Member. Spoke on the Panel on "Developing Your Business Strategies" panel for entrepreneurs and early stage companies, at the Illinois Small Business Capital Formation Conference (sponsored by the Illinois Coalition), Chicago, IL. My presentation covered the "Long-Term Planning for the Future Public Offering", and was directed toward entrepreneurs, start-up companies and early stage companies.
10/6/1999Panel Member. Spoke on the DuPage County Bar Association's Legal Education panel before the DuPage County Business Lawyers. Speech entitled: "Securities Law Issues For the General Business Law Practitioner (Including How Your Client Can Fall Into Trouble By Raising Money on the Internet)."
9/14/1999Public Television Station interview / film-shoot by David Camp, while at the Securities & Exchange Commission's Small Business Forum in Washington DC. Interviewed as a legal advocate of Small Businesses and Emerging Companies, to be aired in Chicago on two educational TV stations, including WTTW, in October 1999, and similar stations around the country.
9/13/1999 and 9/14/1999Participated as a small business industry /legal delegate in the U.S. Securities Exchange Commission's annual "Government and Small Business Forum". (Washington DC. Mayflower Hotel.) Industry delegates discuss, draft and submit to the SEC for submission to Congress, proposed legislative changes in securities laws, which will assist small business issuers. Actively contributed to breakout sessions addressing issues of using the internet as a tool for finding angel investors, as well as the use of finders, and drafted changes to existing federal and state securities law.
7/20/1999USA Today Newspaper, July 20, 1999, Money Section, Page 1. Quoted as a securities law expert on Direct Public Offerings, in an article entitled "Net Breathes New Life Into Old Concept", which addresses the DPO topic, pros and cons.
7/08/1999Co-Wrote an article "Independent Film Making: Taking Money, Taking Chances", published July 15, 1999, in Perform Ink Magazine, an entertainment trade journal in the "Law and Entertainment" column, with Bob LaBate.
3/8/1999Interviewed by, and provided materials to, keynote speaker Jean Harris in advance of Jean's presentation to the annual "Regulation D and SCOR Offerings" Conference, Phoenix, AZ, March 11, 1999. Provided Jean with her speech material in a summary review of the current state of the law on Reg D, Reg A and Blue Sky. Provided Jean with written materials for her presentation: A summary of Blue Sky, Reg D and Reg A law updates from 1998-99; A summary chart comparison of the small offering types.
2/24/1999Spoke on the "Film Financing" Panel presented by Film Bureau 606 (a Chicago, IL organization serving independent film producers). My presentation addressed the "Securities Law Implications of Raising Money for Film Production", and covered the federal and state securities law requirements for raising money. Spoke as an invited guest of the Film Bureau 606 and of the Law Firm DeFreese and Fisk. Presented and distributed a checklist for film deal offering memos, and a chart summarizing securities requirements.
2/23/1999Interviewed by Screen Magazine, Chicago, IL, reporter Karl Kozlowski, for an article on "Securities Law Issues in Film Fundraising", for publication in February 1999.
2/15/1999Spoke as a guest speaker at the Illinois Benedictine University (Lisle, IL) MBA Program's class on "Financing New Ventures". My presentation covered the "Securities Law Implications of Financing a Small Business", as an invited guest of professor Tom Sleeter. Distributed securities law summary charts.
2/8/1999Spoke on the Midwest Entrepreneur's Forum Panel entitled "How to Start a Successful Business". Spoke on securities, financing and corporate law topics as they related to topics presented by the other three panelists: An accountant, a banker and a marketing expert. Spoke before an audience of 150 entrepreneurs and professionals; invited guest speaker. MEF is a Chicago-based organization serving entrepreneurs and small businesses.
1/11/1999Crain's Chicago Business: Quoted as a securities law expert in Direct Public Offerings (DPOs) and offerings on the internet, in the Crain's Small Business Section Article entitled "Net Investments", in the Small Business Special Report, Page SB-1.
1/4/1999Interviewed by Crain's' Chicago Business for an article on Women Entrepreneurs and Small Businesses, February 8, 1999.
October, 1998Contributor and commentator to the SEC and in the national Small Business arena, including the U.S. Small Business Administration, on the proposed changes to Reg D, Rules 504 and 506.
9/24/1998Participated as a small business industry delegate in the U.S. Securities Exchange Commission's annual "Government and Small Business Forum". Delegates and securities regulators discussed in small groups, the impact of proposed SEC law changes and existing federal and state securities law, and the effect of same on small business capital formation; Chicago, IL at the University of Chicago Gleacher Center.
9/23/1998Spoke at the Illinois Small Business Capital Formation Conference, on the panel entitled "Going Public: Legal Aspects ", with 4 other panelists, as an invited guest of the Illinois Securities Department and the Illinois Coalition (sponsors of the Conference); at Chicago, IL, University of Chicago, Gleacher Center, before an audience of 130 entrepreneurs. Conference was held as a curtain raiser to the SEC's Government & Small Business Forum on 9/24/99.
July, 1998Business Law Today (November/December, 1998 Issue): Featured in the article entitled "Telecommuting: It's a Tossup", as an expert on practicing serious securities law full-time from a serious home office.
July, 1997Chicago Lawyer Magazine (July, 1997 Issue): Featured (with a cover photo) in the cover story "Big Firm Lawyers Plug in to At-Home Offices" as an expert on telecommuting /working from a full-time home office.
12/11/1996Featured Speaker in presentation to the Katten Muchin & Zavis Corporate Department Training Program. Gave speech entitled "Federal Preemption and Blue Sky Law Changes Effected By the National Securities Market Improvement Act of 1996"; Educated corporate department attorneys of all levels in the federal law and state securities law changes affecting private and public offerings, particularly to exchange-listed deals and Rule 506 deals.
10/11/1995Featured Speaker in Presentation to the Katten Muchin & Zavis Transactional Attorneys Training Program (Corporate, Health Care, Real Estate Departments). Gave speech entitled "Making the Choice of Private Offering Exemptions: 4(2) vs. Reg D" in order to educate attorneys in several departments about the need to consider the securities law implications in any type of financing.
Spring, 1994Featured Speaker in Presentation to the Katten Muchin & Zavis ERISA Department. Speech entitled "How Federal and State Securities Laws Affect Your Employee Benefit Plans: 401(k)s through Stock Option and Stock Purchase Plans".
1993 to presentFrequent contributor and commentator on the two internet "list-servs" "FEDSEC" and "BLUESKY". The "list-servs" are groups of securities attorneys throughout the country who discuss issues in securities law interpretation and current law updates.
1988 to 1993Co-Editor of the American Bar Association's "State Regulation of Securities Newsletter", with Misty Gruber and Dee Harris. Contributed articles on Blue Sky topics to the Newsletter: "Sale to Existing Security Holders Exemptions"; "Bank Security Exemptions", "Employee Plan Exemptions".
Contact Nancy Fallon-Houle at nfallon@velocitylaw.com or 630-963-0439 x22
14930 Allison Lane, Homer Glen, IL 60491, Will County
copyright © 2024 Velocity Law, LLC legal disclaimer