Speaker, 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…
Read MoreSpeaker, Master Class: Realty AltFi: Regulated Investment (Equity/Debt) Crowdfunding, January 27, 2016, New York, New York
Speaker on JOBS Act developments in 2015 and predictions for year 2016. Presented at the Soho Loft in Manhattan.
Read MoreSpeaker – Syndication Lawyers Regulation A+ and Crowdfunding Workshop, December 9, 2015, Santa Ana, CA
Speaker - Syndication Lawyers Regulation A+ and Crowdfunding Workshop (Regulation A, Regulation D, SEC and state regulator activity, technology and compliance providers), December 9, 2015, Doubletree Club Hotel, 7 Hutton Centre Dr., Santa Ana, CA.
Read MoreFinLaw: 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 my last regulatory action update,…
Read MoreSpeaker – Master Class: Real Estate Alternative Financing, November 18, 2015, NYC
Speaker - Master Class: Real Estate Alternative Financing (Crowdfunding, Reg A+, Reg D, Rule 506(c), Direct Public Offering), November 18, 2015, 800 Third Avenue, New York, NY.
Read MoreFinlaw: To Tap the Full Benefits of Reg A+, Test the Waters Before Diving In
While we are waiting for the 180 days or so before Regulation Crowdfunding becomes effective, an issuer may wish to consider other options presently available that permit nonaccredited investor participation. Reg A+ offers some attractive options for a small issuer that needs to raise capital to grow its business. You can raise up to fifty…
Read MoreFinLaw: JOBS Act Regulatory Action Update
During her keynote address at the 47th Annual Securities Regulation Institute on October 28, 2015, SEC Chairman Mary Jo White reminded us that the securities industry is an industry closely monitored by its regulators. While the speech focused attention on the dramatic changes in capital raising now permissible through the JOBS Act, White made clear…
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