November 14, 2019

REVERSEinquiries Workshop Series: Platforms and Securities Law and Commercial Considerations


With the rise of new structured products and fixed income related internet-based platforms, issuers and their affiliated broker-dealers as well as distributors must consider a number of securities law and regulatory considerations. Among other things, we will discuss:

  • Broker-dealer and investment adviser registration requirements;
  • Section 11 and Section 12 liability under the Securities Act;
  • Electronic media guidance;
  • FINRA communications rule and social media guidance; and
  • Documenting the commercial arrangements.

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