Description
Expand your knowledge and grow your network by joining us in Scottsdale to stay current on the rules governing exempt offerings, as well as current market practice, as exempt securities offerings continue to expand their dominance in capital-raising over registered offerings in all areas. Hear and interact with distinguished faculty, including current and former SEC and state officials, and experienced and knowledgeable practitioners, for a detailed review of the current regulatory landscape and practical advice on the conduct of exempt offerings as enforcement activity continues to heat up in the SEC, FINRA, and the states.
Topics include:
• Resales of Restricted Securities: Rules 144 , Section 4(a)(1½); Section 4(a)(7); Second and Third Market Trading and Rule 15c2-11; International Markets and Offshore Resales
• Defining “Security”: Where Cryptocurrency, Initial Coin Offerings, Non-Fungible Tokens, DeFi, SAFES (and their siblings) Fit in the Regulatory Regime