Chapter 47 This material has been published as part of Investment Adviser Regulation, Third Edition and Financial Product Fundamentals by Practising Law Institute, and is…

1. Page |1 International Association of Risk and Compliance Professionals (IARCP) 1200 G Street NW Suite 800 Washington, DC 20005-6705 USA Tel: 202-449-9750 www.risk-compliance-association.com…

1. IPO ReadinessSeptember 5, 2012 Attorney Advertising 2. Contents  IPO Process (slides 3-6)  Impact of JOBS Act (slides 7-18)  Quiet Period (slides 19-24)  Management…

1. S-1 1 d520989ds1.htm FORM S-1 As filed with the Securities and Exchange Commission on July 8, 2013. Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington,…

1. No. 2012-17 17 May 2012Technical Line Financial reporting developments Implementing the JOBS ActIn this issue:What you need to knowOverview ...........................................…

1. Presenters: Alexander B. Kasdan, Managing Director Mark T. Hiraide, Partner The New Paradigm for Raising Capital: The SEC’s New JOBS Act Rules August 22, 2013 2. 1 Alexander…

1. Practical Guidance on Securities Offerings (including High Yield and Initial Public Offerings) in a Changing EnvironmentMarch 18, 2014 2. © 2014 Winston & Strawn…

1. Franchise InvestmentWealth StrategyMulti-Unit Concept ManagementConceptwww.francnsult.com 2. INVESTOR PROFILE• Seeks above average ROI and AssetAppreciation• Prefers…

1. The JOBS Act: What It Means forPre-IPO and Public CompaniesWednesday, April 11, 2012Presented by:Erika L. RobinsonBrian A. JohnsonStephanie Nicolas 2. Today’s SpeakersErika…

Application of Broker and âPay to Playâ Rules to In-House and Third Party Marketers P2Binvestor Small Business Webinar Series Presented by R.P. Burrasca ColoradoCrowdfunding.org…