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Solicitors and Capital-Raising: What You Must Know

11-Oct-2011

   
Event Title Solicitors and Capital-Raising: What You Must Know
Event Date Tuesday, October 11, 2011
Event Time 10:00 am PST / 1:00 pm EST
Event Details This webinar will offer valuable regulatory insights and practical tips on Solicitors and Capital-Raising: What You Must Know

Discussion highlights include:

  • The SEC's Solicitors Rule – Prohibitions, Requirements, and Exceptions
  • "Pay to Play" Considerations and Lobbyist Registration Requirements
  • State Registration/Licensing Requirements and Exemptions
  • Compliance Do's and Don'ts When Entering Into Solicitation or Referral Arrangements

*We will provide the Webinar participation link to registered participants the day before the event.

Event Moderator Sheri Lejman, Partner in the Assurance Services group of Marcum LLP
Featured Experts Zachary Rosenberg, Esq. and Brent Cunningham, Esq., of Core Compliance & Legal Services, Inc.
   
 

 

 
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