The US Securities and Exchange Commission proposes to establish a new limited and conditional exemption from the broker registration requirements for natural persons engaging in certain limited capital-raising activities on behalf of issuers seeking to raise funds from accredited investors. If adopted, the proposed exemption will allow natural persons to engage in certain limited activities involving accredited investors…

Watch video of the event by registering here. The purpose of this educational session is to: Help webinar participants understand current and soon to be made current SEC rules that can improve capital raising opportunities. Discuss why FINRA and registered representatives are important. Understand ways that Regulation D, Rule 506(c) can be used by CEOs…