09/14/2016 12:00 p.m. - 01:00 p.m. EDT
Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs, and Broker-Dealer Compliance + Regulation
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“Bad actor” disqualification requirements prohibit issuers and others, such as underwriters, placement agents, directors, officers, and shareholders of the issuer, from participating in exempt securities offerings if they have been convicted of, or are subject to court or administrative sanctions for, securities fraud or other violations of specified laws. As we approach the third anniversary of the effectiveness of the new rules, this teleconference will address:
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