WebinarCompliance & RegFundraising & IR

Finders and Unregistered Broker-Dealers: Understanding the Risks and Recent Developments

Name: Finders and Unregistered Broker-Dealers: Understanding the Risks and Recent Developments
Start: 2026-11-12T13:00:00-05:00
End: 2026-11-12

by BARBRI (Strafford)

CLE webinar on the risks of using unregistered finders to raise capital, when broker-dealer registration is required, and state law issues, including SEC aiding-and-abetting exposure for fund managers; presented by Derek Lacarrubba (Dash Financial Technologies) and Eden L. Rohrer (McIntyre & Lemon).

When: Nov 12 · 1:00 PM ET (90 minutes)
Where: Virtual · Virtual
Cost: $347

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