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Webinar: What Broker-Dealers Need to Know About Online Capital Formation – March 16th

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Date: Wednesday, March 16, 2016

Time: 2pm ET / 11am PT

Duration: 45 minutes

This webinar is dedicated to covering legal, regulatory, and compliance issues for broker-dealers and firms working with broker-dealers.  Registration is free…

Overview of Key Changes in Private Capital Formation: Discussion of Reg. A; changes to Regulation D Rule 506c/506b; the relevance of the JOBS Act to online capital formation and online deal sourcing.

Broker-dealer Compliance in the Age of Online Capital Formation: Discussion of state and federal compliance for sales of securities; KYC, AML, Escrow & ACH; accredited investor confirmation procedures.

Marketing your Deals Online: How to expand your universe of investor prospects; understanding what makes for a general solicitation; email advertising do’s and don’ts; using deal portals to post investment opportunities.

Getting your Deal Closed Online: Virtual data rooms and collaboration software; document security; using a transfer agent; sharing information with investors and other deal participants; “Invest now” technologies.

 

Register here…

 

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