Speaker, Assessment and Disclosure of Conflicts of Interest in the EB-5 Space, EB5 Due Diligence webinar, April 13, 2016
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- Apr 13
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Discussion of conflicts of interest in the EB-5 space. Panelists included Robert Divine of Baker Donelson; Mariza McKee of Kutak Rock; Omar Hakim of Mona Shaw Law, Scott Andersen of finLawyer.com, and Kurt Reuss of Primary Capital LLC. Click here conflicts
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
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- Mar 11
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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 MoreFINLAW: Time to Apply to Become a FINRA Funding Portal
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- Feb 5
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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 MoreFinLaw: What are the Top Priorities of the SEC?
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- Dec 8
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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 MoreFinlaw: To Tap the Full Benefits of Reg A+, Test the Waters Before Diving In
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- Nov 9
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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
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