Regulatory Compliance Hosted Webinars

WEBCAST: Regulatory Compliance Discusses SEC's Lifting of the Ban on General Solicitation

General Solicitation: What the rule changes mean to firms that market private offerings

Thursday, September 26, 2013 

This is a practical and educational webinar covering recent SEC changes to the General Solicitation rule. This webinar will provide guidance and tips to fund managers, broker-dealers and others who issue or market private offerings exempt under Reg. D on what the changes mean and some best practices for staying in compliance with the new requirements.  Rick Marshall and Eva Carman both of ROPES & GRAY, LLP join Laura Crosby-Brown, Director of Compliance at Regulatory Compliance for this informative and enlightening webinar.

 Topics Covered:

  • The JOBs Act – key components and where we stand
  • General solicitation changes – SEC rule change and proposed changes
  • What the change means for issuers and firms that market Reg. D offering
  • Best practice for complying with the new rules
  • How proposed changes will effect firms going forward


Disclaimer: This webinar is the sole property of Regulatory Compliance, LLC, and the information provided is for informational and educational purposes only. The content of the webinar does not constitute any regulatory rules or amendment or interpretation to such rules.  Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA, NFA, SEC or the rules of any other SRO, or futures laws. This webinar is provided "as is". Regulatory Compliance, LLC and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce these videos in any form, nor reference them in any publication, without the express written consent of Regulatory Compliance, LLC.