Speaker, 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
Read MoreSpeaker, DealFlow.com Webinar, “What Broker-Dealers Need to Know About Online Capital Formation,” March 16, 2016
Presented at the Dealflow.com webinar in March 16, 2016 with Steven Dresner and Michael Bertisch of Dealflow.com, and Scott Purcell of FundAmerica.
Read MoreSpeaker, 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 Roderick, Esq.; and Donald Deans
Read MoreSpeaker, Alternative Real Estate Financing Seminar – Crowdfunding Panel, February 9, 2016, New York City Bar Association, 42 W. 44th St., New York, NY
Speaker, Alternative Real Estate Financing Seminar – Crowdfunding Panel, New York City Bar Association, 42 W. 44th St., New York, New York on February 9, 2016.
Read MoreFINLAW: Time to Apply to Become a FINRA Funding Portal
The SEC has approved FINRA Funding Portal Rules, and FINRA has issued on January 29, 2016 Regulatory Notice 16-06. This regulatory notice outlines the process one needs to undertake to become a Title III Funding Portal member. If you wish to participate in a Title III business, now is the time to file your Funding
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