abril 19 2023

Navigating Broker-Dealer Regulation: Potential Pitfalls in Private Offerings

Share

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.

Descarga de recursos

Stay Up To Date With Our Insights

See how we use a multidisciplinary, integrated approach to meet our clients' needs.
Subscribe