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


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About This Course

This CLE session explores aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding realm. Join panelists at this session to gain knowledge on emerging regulatory risks and practices broker-dealers and funding portals can implement to stay in compliance.

This session will discuss:

  • Considerations for broker-dealers engaging in Regulation Crowdfunding offerings.
  • Considerations for funding portals engaging in Regulation Crowdfunding offerings.
  • Discussion of FINRA’s December 20, 2023 Regulation Crowdfunding Frequently Asked Questions
  • Common examination findings

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