April 19, 2023

Navigating Broker-Dealer Regulation: Potential Pitfalls in Private Offerings


Join us remotely or in person for a discussion on the most frequently asked questions and hot topics related to broker-dealer regulatory considerations in connection with private offerings of securities, including the following:

  • Activities and compensation structures that may trigger broker-dealer registration
  • Risks and consequences of using, or acting as, an unregistered broker-dealer
  • Exemptions from broker-dealer registration, including “Issuer Exemption” and “M&A Brokers”
  • Special situations, including “Finders”
  • Use of Digital Engagement Practices in connection with offerings, including social media

For additional information, please contact Ryan Cornellier at rcornellier@mayerbrown.com.

CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.

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