Crowdfunding Capital Raises: Considerations for Broker-Dealers & Funding Portals

Accreditation Wreath Icon AL
SKU: SEC080
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Join our expert panel for a deep dive into Regulation Crowdfunding (Regulation CF) and its impact on broker-dealers and funding portals. This CLE session will provide valuable insights into regulatory risks and best practices for maintaining compliance.

Key discussion points include:

  • Regulation CF for Broker-Dealers: Understand the specific requirements and strategies for broker-dealers participating in crowdfunding offerings.
  • Regulation CF for Funding Portals: Explore the unique considerations and compliance obligations for funding portals.
  • FINRA’s Latest Guidance: Review the key takeaways from FINRA’s December 20, 2023, FAQs on Regulation Crowdfunding.
  • Common Examination Findings: Learn about typical compliance issues uncovered during examinations and how to address them.
  • Gain essential knowledge to navigate the complexities of Regulation CF and ensure your operations are compliant.
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