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| Name | FINDERS KEEPERS? RISKS OF UNREGISTERED BROKER-DEALERS |
| Video Uploader | Video From NetworkTrialLawFirms |
| Upload Date | This Video Uploaded At 13-11-2012 17:14:03 |
| Video Discription | TRIAL.COM - FINRA2012 - Brian Miller FINDERS KEEPERS? RISKS OF UNREGISTERED BROKER-DEALERS Brian Miller (Akerman Senterfitt; Miami, FL) presents at the The Network of Trial Law Firms' Litigation Management CLE SuperCourse: Unregistered finders are important cogs in efforts to raise capital, but they come with risks when they engage in "broker-dealer" activities. Brian Miller, Chair of the Securities Litigation Practice at Akerman Senterfitt, will outline current regulations and responsibilities, discuss the finder exception from registration, distinguish finders from broker-dealers, trends in enforcement, penalties for using unregistered broker-dealers, and considerations when working with finders. Materials: http://www.trial.com/cle/materials/2012-finra/miller.pdf PowerPoint: http://www.trial.com/cle/powerpoints/2012-finra/miller.pdf |
| Category | Education |
| Tags | trial | trialcom | Brian Miller | in-house | litigation management | broker-dealer | securities |
