Navigating Broker-Dealer Regulation: Potential Pitfalls in Private Offerings 2023 | Mayer Brown | 19 April 2023 | Silicon Slopes, 2600 Executive Pkwy #140, Lehi, UT 84043, USA
Venue
Silicon Slopes
Silicon Slopes, 2600 Executive Pkwy #140, Lehi, UT 84043, USA
What is Qwoted?
Qwoted is a free expert network: we help reporters connect with experts & we help those same experts build relationships with top reporters.
| Event Date |
Wed Apr 19 CDT (over 1 year ago)
In your timezone (EST): Wed Apr 19 1:00am - Wed Apr 19 1:00am |
| Location |
Silicon Slopes
2600 Executive Pkwy #140, Lehi, UT 84043, USA |
| Region | Americas |
Details
This event discussion is 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
Speakers
2023 Speakers
Steffen Hemmerich
Partner, New York office of Mayer Brown
Jim Kelly
Partner, Mayer Brown’s Salt Lake City office