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.

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