JOBS Act / Crowdfunding

FINRA South Region Compliance Seminar

11/21/2014 09:50 a.m. - 11:00 a.m.

Securities Enforcement

Harbor Beach Marriott
3030 Holiday Drive
Fort Lauderdale, FL 33316


This presentation from FINRA and industry members addresses recent developments regarding the implementing regulations for the JOBS Act. Updates address Regulation D Rule 506(c), research quiet periods and pitch meetings, distinctions between online private placement platforms and funding portals, and a discussion of the regulatory considerations in these areas.

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