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.