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 funding portals registered with the…
Read MoreSpeaker, Blockchain ICO Capital Summit, Miami, Florida February 26-28, 2018
http://www.alternativebtcsummit.com Speaker, SPECIAL DEBATE PANEL I: SEC & IRS REGULATIONS – WHAT’S NEXT FOR BLOCKCHAIN COINS & ICO’S
Read MoreFINLAW: What questions will the SEC ask ICOs?
see article appearing on banklesstimes.com at https://www.banklesstimes.com/2017/11/05/what-questions-will-the-sec-ask-icos/ While ICOs (initial coin offerings) and their legal advisors analyze facts and circumstances to assemble arguments why some token sales do not fall under the definition of a security, there are other securities-related questions that are necessary to address to ensure token offerings are compliant with the…
Read MoreSpeaker, A New Direction for FINRA, NYC Conference, Marriot Residence Inn Manhattan Times Square, NY, NY, November 3, 2017
Speaker, A New Direction for FINRA, at conference sponsored by Breard and Associates, Marriot Residence Inn Manhattan Times Square, NY, NY, November 3, 2017
Read MoreSpeaker, New Reforms and Opportunities in Technology Driven Finance, Crittenden Real Estate Finance Conference, The Mandarin Oriental, Miami, Florida, October 25-27, 2017
Speaker on opportunities, regulation and enforcement - the JOBS Act Reg D, Reg A+ and ICOs (crypto currency token sales). http://www.crittendenrealestatefinance.com/REF-2017-Speakers.html
Read MoreFinLaw: Pitfalls for Funding Platforms Continuing to Raise Capital over the Internet under Rule 506(b)
See article on Crowdfundinsider at https://www.crowdfundinsider.com/2017/10/123423-pitfalls-funding-platforms-continuing-raise-capital-internet-rule-506b/ --- Even with the flexibility provided to Regulation D private placement offerings by Title II of the JumpStart Our Business Startups (JOBS) Act, U.S. Securities and Exchange Commission (SEC) data has consistently shown that most Regulation D offerings continue to raise capital under traditional Rule 506(b). Rule 506(b), unlike its…
Read MoreFINLAW: ICOs and a Soon Arriving Flood of SEC Enforcement Investigations
See article at http://www.banklesstimes.com/2017/10/14/icos-and-a-soon-arriving-flood-of-sec-enforcement-investigations/ The Securities and Exchange Commission late last month filed charges against the person and entities responsible for two related initial coin offerings (ICOs) that defrauded investors. See SEC v. ReCoinGroup Foundation, LLC, et al, at https://www.sec.gov/litigation/complaints/2017/comp-pr2017-185.pdf In the ReCoin case, a typical securities offering fraud became far more notable because the vehicle…
Read MoreFINLAW: Pitfall to the Unwary — Mandatory Arbitration and the Unanticipated FINRA Enforcement Action
We hear frequent complaints about FINRA arbitrations. The arbitration is unfair to one party or another, that there are insufficient procedures to dismiss frivolous cases, or that the arbitrators do not spell out the factual or legal basis for their decision. While each of these may be a legitimate complaint, unwary litigants who are also…
Read MoreSpeaker, FINRA Arbitration and Enforcement – What You Need to Know, The Knowledge Group’s Continuing Legal Education for Lawyers Webinar, October 5, 2017
https://www.theknowledgegroup.org/webcasts/legal/alternative-dispute-resolution/finra-arbitration-and-enforcement Key Topics Understanding FINRA Arbitration The Arbitration Process Risks of FINRA Disciplinary Action Latest Updates to FINRA Code of Arbitration Procedure Best Practices for Counsel
Read MoreSpeaker, FACTRIGHT Due Diligence Webinar: Rise of the Mini-IPO – The Road to NYSE and NASDAQ Using Regulation A+, July 26, 2017
With three issuers recently listing on the New York Stock Exchange or NASDAQ, Regulation A+ is proving to be an efficient and cost-effective method to raise up to $50 million dollars and a stepping stone to becoming a public company. Things have certainly changed. Before the JOBS Act, Regulation A was a dormant tool for…
Read More