Description
Expand your knowledge and grow your network by joining us in Scottsdale to stay current on the rules governing exempt offerings, as well as current market practice, as exempt securities offerings continue to expand their dominance in capital-raising over registered offerings in all areas. Hear and interact with distinguished faculty, including current and former SEC and state officials, and experienced and knowledgeable practitioners, for a detailed review of the current regulatory landscape and practical advice on the conduct of exempt offerings as enforcement activity continues to heat up in the SEC, FINRA, and the states.
Topics include:
• FINRA, Broker-Dealers and Investment Advisors: Priorities for Review of Exempt Offerings and Regulatory Actions; Enforcement Activity; Unregistered “Finders”; Regulation Best Interest