Speaker, Complying with FINRA’s Rules and Regulations: Practical Tips for 2017, The Knowledge Group’s Continuing Legal Education for Lawyers Webinar, May 11, 2017
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- May 11
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https://www.theknowledgegroup.org/webcasts/risk-and-compliance/banksavings/complying-with-finras-rules-regulations-practical-tips-for-2017-live-webcast
Read MoreFinLaw: Are Overseas Portals the Next Big Thing in US Equity Crowdfunding?
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- Mar 22
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See article appearing in Crowdfund Insider on March 22, 2017 https://www.crowdfundinsider.com/2017/03/97648-overseas-portals-next-big-thing-us-equity-crowdfunding/
Read MoreSpeaker, 2017 Las Vegas EB-5 & Investment Convention, Bellagio Resort & Casino, Las Vegas, NV, January 14, 2017
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- Jan 15
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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 MoreFinLaw: Five Key Take-Aways from FINRA’s Expulsion of Crowdfunding Portal UFP
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- Dec 28
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See article in Crowdfundinsider.com, at the link below: http://www.crowdfundinsider.com/2016/12/94083-five-key-take-aways-finras-expulsion-crowdfunding-portal-ufp/
Read MoreSpeaker, Funding Platforms for Rule 506 Offerings: Navigating Broker-Dealer Registration Exemption for Investment Advisers and Issuers, Strafford Continuing Legal Education for Lawyers’ webinar, October 4, 2016
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- Oct 4
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https://www.straffordpub.com/products/funding-platforms-for-rule-506-offerings-navigating-broker-dealer-registration-exemption-for-investment-advisers-and-issuers-2016-10-04 Outline Analysis of JOBS Act exemption from broker-dealer registration and broker-dealer registration generally Analysis of the issuer exemption and the Investment Advisers Act Analysis of SEC no-action letter Key take-aways for moving forward. Benefits The panel will review these and other key issues: Scope of JOBS Act exemption from broker-dealer registration When broker-dealer registration
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