FINLAW: Online Funding Platforms Will Encounter More Regulatory Scrutiny in 2019
See my article appearing in Crowdfundinsider.com at https://www.crowdfundinsider.com/2019/01/143962-caution-online-funding-platforms-will-encounter-more-regulatory-scrutiny-in-2019/ On January 22, 2019, the Financial Industry Regulatory Authority (FINRA) released its examination priorities for 2019. At the top of the list was online funding platform compliance with the securities laws. With an uptick in the offer and sale of securities offerings online with Rule 506(c) of Regulation
Read MoreFinLaw: FINRA enforcement proceedings are not subject to any statute of limitations
FINRA’s Office of Hearing Officers has recently again confirmed that, despite the U.S. Supreme Court imposing the five year statute of limitations on SEC disgorgement actions, FINRA enforcement proceedings are not subject to any statute of limitations. While there are equitable arguments available to challenge stale FINRA cases, it is quite a different standard which
Read MoreSpeaker, U.S. Crowdfunding: Tips to navigate the regulatory framework when starting your own platform, webinar April 5, 2018
See Katipult University on youtube, webinar #2
Read MoreFINLAW: Five Tips to Crowdfunding Portals – Preparing For Your First FINRA Exam
See Article published on BanklessTimes http://www.banklesstimes.com/2017/05/23/5-tips-to-crowdfunding-portals-preparing-for-your-first-finra-examination/
Read MoreSpeaker, 2017 Las Vegas EB-5 & Investment Convention, Bellagio Resort & Casino, Las Vegas, NV, January 14, 2017
Panel Exposure Related Litigation: Preventing or Responding to an Investigation, with Jor Law of Homeier & Law, Brian Aryai of Compliance Services LLC, Scott Andersen of Andersen, PC, Osvaldo Torres of Torres Law PA, and Robert Cornish Jr. of Phillips Lytle LLP. http://www.eb5investors.com/conferences/2017-las-vegas-eb-5-investment-immigration-convention
Read More- 1
- 2