Speaker, 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…
Read MoreSpeaker, OTC Markets Regulation A+ Roundtable, October 20, 2015 in NYC
Speaker at OTC Markets Regulation A+ Roundtable, October 20, 2015 at the OTCQX Market Center, 304 Hudson Street, New York, NY, including such topics as testing the waters, costs, free tradability of the shares, and the development of venture exchanges, onboarding to OTC and other mechanisms to establish liquidity. https://www.youtube.com/watch?v=wLzg3tbqcjw&feature=youtu.be
Read MoreFINLAW: FINRA proposes rule changes to regulate Title III Funding Portals
Under Title III of the JOBS Act, a crowdfunding intermediary that engages in crowdfunding on behalf of an issuer of securities is required to register with the SEC as a “funding portal” or a broker-dealer, and to become a FINRA member. In anticipation that the SEC will take action on Title III crowdfunding shortly, FINRA’s…
Read MoreFinLaw: Raising Money online with a Participating Broker-Dealer? Welcome to the World of FINRA Regulation
In my last article regarding Regulation A+ filing requirements, I discussed how when raising funds for a Reg A offering you are required not only to make a Form 1-A filing with the SEC, but also one with FINRA pursuant to FINRA Rule 5110. Rule 5110, known as the Corporate Financing Rule, enables FINRA to review and…
Read MoreSpeaker, 2nd Annual IMN Crowdfunding Forum for Real Estate (West), Santa Monica CA, on September 16 and 17, 2015
Speaker at Fairmont Miramar Hotel & Bungalows, 101 Wilshire Boulevard, Santa Monica, CA on September 16, 2015 ("The Latest SEC/FINRA and State Broker Dealer and Selling Regulations: What a Developer Needs to Know about 506b, 506c, Reg S and Intrastate Rules") and September 17, 2015 ("The Shark Tank").
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