Nancy Fallon-Houle's Speeches, Articles and Publications: |
| Scheduled Speaking Engagements |
| Date |
Speeches, Interviews, Publications, Articles |
| April 2007 | Panelist, Lorman Education, "LLCs, LPs and S Corps - Distributions", my topic "Corporate Law & Securities Law Issues With Distributions, Redemptions, Liquidations". Oak Brook, IL |
| Previous Speaking Engagements |
| Date |
Speeches, Interviews, Publications, Articles |
| October 3, 2006 | Panelist, 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, 2006 | Panelist, 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, 2006 | Panelist, 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, 2005 | Panelist, 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" Agenda |
| May 18, 2005 | Panelist, Opal Emerging Manager's Summit, Chicago Renaissance Hotel "Starting and Operating a Private Hedge Fund: Legal and Accounting Pitfalls, Tips and Tricks" Speech Notes |
| October 30, 2004 | Panelist, Lake Forest Graduate School of Management "Entrepreneurship Program" Lake Forest, IL. My topic "Legal and Securities Law Issues in Entrepreneurship" Speech Notes |
| September 27, 2004 | Panelist, 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" Speech Notes |
| April 16, 2004 | Panelist, 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. Speech Notes |
| January 12, 2004 | Guest 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, 2003 | Panelist, 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. Speech Notes |
| October 24, 2003 | Panelist, 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, 2003 | Panelist, 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, 2003 | Panelist, 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. |
| 3/5/2003 | Panelist, 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" |
| 3/3/2003 | Guest 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. |
| 3/4/2002 | Guest 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. |
| 2/25/2002 | Guest 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. |
| 9/18/2001 | Elected 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 9/7/2001 | Selected 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. |
| 4/09/2001 | Featured 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. |
| 2/23/2001 | Featured Speaker, Herrick Middle School, Career Day, Presentation on Being a Business Lawyer. |
| 2/24/2001, 1/25/01, and 11/1/2000 | Panel 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. |
| 8/10/2000 | Panel 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. |
| 5/25/2000 | Guest 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. |
| 4/29/2000 | Panel 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. |
| 11/1999 | Publication 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 9/14/1999 | SEC 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. |
| 10/20/1999 | Panel 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. |
| 10/5/1999 | Panel 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. |
| 10/6/1999 | Panel 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)." |
| 9/14/1999 | Public 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 9/14/1999 | Participated 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. |
| 7/20/1999 | USA 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. |
| 7/08/1999 | Co-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. |
| 3/8/1999 | Interviewed 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. |
| 2/24/1999 | Spoke 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. |
| 2/23/1999 | Interviewed by Screen Magazine, Chicago, IL, reporter Karl Kozlowski, for an article on "Securities Law Issues in Film Fundraising", for publication in February 1999. |
| 2/15/1999 | Spoke 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. |
| 2/8/1999 | Spoke 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. |
| 1/11/1999 | Crain'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. |
| 1/4/1999 | Interviewed by Crain's' Chicago Business for an article on Women Entrepreneurs and Small Businesses, February 8, 1999. |
| October, 1998 | Contributor 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. |
| 9/24/1998 | Participated 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. |
| 9/23/1998 | Spoke 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, 1998 | Business 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, 1997 | Chicago 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. |
| 12/11/1996 | Featured 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. |
| 10/11/1995 | Featured 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, 1994 | Featured 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 present | Frequent 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 1993 | Co-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". |
