Law

FinLaw: Broker-Dealer and Investment Adviser inadequate cyber security procedure and control cases will be SEC and FINRA priority for many years to come

A new SEC enforcement case a against dully registered broker-dealer and investment adviser for deficient cyber security procedures under Reg S-P and Reg S-ID resulting in sanctions and a $1 million civil money penalty. Expect to see many, many more, and similar FINRA cases coming soon.  https://www.sec.gov/litigation/admin/2018/34-84288.pdf

Speaker, Blockchain Law Summit, May 24, 2018, Los Angeles, CA

  https://www.cryptofundingsummit.com/lawsummit Panel: Blockchain and Cryptocurrencies Regulations in US and Abroad Speakers:Scott Andersen | Principal At FinLawyer.Com (Andersen, P.C.)Seth Goettelman | Attorney In Gould & Ratner LLP Nima Maleki | Corporate Counsel At ‎Velton Zegelman Jason Gottlieb | Partner At Morrison Cohen LLP Felix Shipkevich | Attorney And Principal Of Shipkevich PLLC Moderator: Robert Kim | ‎Legal[…]

FINLAW: Steps to Navigate FINRA for a Title III Crowdfunding Platform Approval

See recent blog post appearing at https://www.katipult.com/education-center/news/tips-to-registering-your-securities-crowdfunding-portal *** Crowdfunding Portals continue to disrupt traditional ways of raising capital by leveraging the historic reforms under the JumpStart Our Business Startups (JOBS) Act, financial technology and growing demand by self-directed and nonaccredited investors who seek to invest in potentially innovative ventures. With 38[…]