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 broker-dealer registration When broker-dealer registration
Read MoreFinLaw: 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 to investors through general solicitation
Read MoreSpeaker, International Blockchain Real Estate Association (IBREA) Newport Beach Conference, May 17, 2016
https://www.youtube.com/watch?v=shjSy7gSvtA&list=PLQfCWXou5NY58mxbMh7lpgasFHjKsptj7&index=6 Speaker, Blockchain and Crowdfunding panel, IBREA, Newport Dunes Resort and Marina, Newport Beach, CA, on May 17, 2016.
Read MoreSpeaker, Crowdfunding: The Future of Raising Capital Online via Reg D & Reg A+ on April 7, 2016, 80th Annual STANY Conference, 10 Desbrosses Street, New York, NY
80th Annual STANY (The Security Traders Association of New York, Inc.) Conference, Crowdfunding: The Future of Raising Capital Online via Reg D & Reg A+. Moderator: R. Cromwell Coulson, President & CEO, OTC Markets Group; Scott Andersen, General Counsel, FundAmerica; Ryan Feit, CEO & Co-founder, SeedInvest; Brian Korn, Partner, Manatt, Phelps & Phillips, LLP; Anna Pinedo,
Read MoreSpeaker, Alternative Strategies for Raising Capital on April 6, 2016, OTCQX Market Center, 304 Hudson Street, New York NY
OTC Markets Group and industry experts discussion on the changing landscape of financing and the emergence of online, data-driven platforms and crowdfunding. Topics included how financial technology and recent regulatory changes have redefined ways for emerging, growth companies to gain access to the capital markets. Panel Discussion included representatives from FundAmerica, HealthiosXchange, Manatt, Phelps & Phillips, OfferBoard and
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