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Speaker, Funding Platforms for Rule 506 Offerings: Navigating Broker-Dealer Registration Exemption for Investment Advisers and Issuers, Strafford Continuing Legal Education for Lawyers’ webinar, October 4, 2016

https://www.straffordpub.com/products/funding-platforms-for-rule-506-offerings-navigating-broker-dealer-registration-exemption-for-investment-advisers-and-issuers-2016-10-04 Outline Analysis of JOBS Act exemption from broker-dealer registration and broker-dealer registration generally Analysis of the issuer exemption and the Investment Advisers Act Analysis of SEC no-action letter Key take-aways for moving forward. Benefits The panel will review these and other key issues: Scope of JOBS Act exemption from[…]

FinLaw: Who will buy your company’s stock?

There is a maxim used by securities professionals that “stocks are sold, not bought.”  This maxim summarizes the view that for a securities offering to be successful, it needs a broker-dealer to solicit and recommend the offering to prospective investors. Now with the JOBS Act and companies selling securities directly[…]