The capital markets are evolving at a rapid pace due to both new JOBS Act regulations and new ways to raise business capital online. An entire cottage industry has emerged around online fundraising/crowdfunding platforms, with promoters claiming to help companies successfully raise money online.
What many marketers don’t know, however, is that there are a variety of rules and regulations regarding how businesses can accept investment capital and who can market these securities. This all goes back to Rule 17(b) of the Securities Act of 1933 that came out of the Great Depression, when unscrupulous unregistered “brokers” were hawking worthless stock to unwitting investors. This rule is still in effect today, and the SEC still uses it to prosecute promoters who violate it.
During this informational webinar, security industry veterans Sara Hanks and Doug Ellenoff will walk participants through the following:
- Why should you be concerned about Section 17(b)?
- How do you comply with Section 17(b)?
- Who is covered by the requirements?
- Why haven’t I heard about this before?
- Why isn’t the SEC taking action to enforce 17(b) requirements?
- What are best practices for compliance, given the wide range of entities it applies to?
The webinar will take place January 29th at 1pm EST.
Register now!
https://attendee.gotowebinar.com/register/2512116152431868673