Regulation

Speaker, The IMN 2nd Annual Crowdfunding and Marketplace Lending Forum for Real Estate, March 10, 2016, Marriott New York, 85 West Street, New York, NY

Speaker on Panel – Compliance Issues Including Broker-Dealer Complexities, with panel members Devin Deans, Office of Chief Counsel, Division of Trading and Markets, U.S. Securities and Exchange Commission; Mihn Le, Director, Corporate Finance, FINRA; Lilah Blackstone, Assistant General Counsel – Department of Insurance, Securities and Banking, District of Columbia; Mark[…]

FinLaw: What are the Top Priorities of the SEC?

Some recent Securities and Exchange Commission (SEC) actions should be carefully reviewed by issuers, funding platforms and portals.  This is because they provide stark warning to those who sell securities over the internet but who do not comply with the federal securities laws. Unregistered broker-dealer Activity, Yet Another Example In[…]