2023年4月19日
Navigating Broker-Dealer Regulation: Potential Pitfalls in Private Offerings
Speakers:
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.
