On October 23, 2013, a proposal issued by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) may significantly alter how companies approach crowdfunding. The proposal aims to allow non-accredited investors invest in startups and small businesses through SEC-registered funding portals.
In this 2-hour live webcast, a panel of key thought leaders organized by The Knowledge Group will help you understand the critical elements of the proposal and its potential effects on companies’ crowdfunding practices.
Some of the topics that will be covered in this course are:
- General Standards of the Proposed Rule
- Funding Portal Application
- Funding Portal Conduct
- Funding Portal Compliance
- Investigations and Sanctions
- Arbitration and Mediation: Funding Portal Rule 1200
- Up-to-minute regulatory updates
Wednesday, March 19, 2014
12:00 pm - 2:00 pm
There are a limited number of free registrations available. However, if CLE or CPE is needed, a minimal/partial processing fee is $49 for the registrant.
Please note, complimentary passes are available for the first 30 registrants. Once all of the passes are used, attendees can register for a discounted rate of $25 plus the $49 CLE/CPE fee if applicable.
- Markley S. Roderick, Shareholder, Flaster/Greenberg PC
- Peter J. Schaeffer, Partner, Patterson Belknap Webb & Tyler LLP
- Richard B. Levin, Counsel, BakerHostetler
- Phillip P. Guttilla, Shareholder, Polsinelli
Credit and Course Information:
- Course Level: Intermediate
- Prerequisite: None
- Method of Presentation: Group-Based-Internet
- Recommended CLE/CPE Hours: 1.75 - 2.0
- Advance Preparation: Print and review course materials
- Course Code: 134565
Registration and Agenda:
Email email@example.com with any questions.
- Markley Roderick