Podcasts about securities law

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Best podcasts about securities law

Latest podcast episodes about securities law

The Academy Presents podcast
Avoid These SEC Pitfalls in Real Estate with Dugan Kelley

The Academy Presents podcast

Play Episode Listen Later May 19, 2025 24:06


What do most new investors overlook when raising capital, and how can a single missing document expose the entire deal?   In this episode, Dugan Kelley breaks down the legal side of raising money for real estate deals, especially under Rule 506(b) exemptions. Dugan shares a clear, actionable breakdown of the syndication process, how securities laws apply, and the key legal structures every investor should understand. With over $4 billion in structured transactions under his belt, he walks through the must-have documents, how to avoid legal pitfalls, and the significance of understanding the difference between accredited and sophisticated investors. Whether you're syndicating your first deal or investing passively, this episode outlines what you need to know to stay compliant and protect your capital.     [00:01 - 05:42] Syndication Basics: What Are You Selling? The importance of understanding whether you're selling a security Why real estate syndication usually involves securities law The role of passive investors and operator equity in typical deal structures   [05:42 - 10:53] Securities Law 101: Are You in the SEC's Jurisdiction? What defines a security in real estate transactions Why even small deals may trigger SEC oversight The need for a Private Placement Memorandum (PPM) in most syndications   [10:54 - 15:27] The Six Ingredients Every PPM Must Have What the SEC expects in a compliant real estate offering The importance of risk disclosures, business plans, and subscription agreements Why a company agreement governs everything after the close   [15:28 - 20:33] Who Qualifies to Invest: Accredited vs. Sophisticated What makes someone an accredited investor (net worth or income thresholds) How recent SEC updates have expanded access to more people The significance of entity-based accreditation   [20:34 - 24:05] Sophisticated Investors: A Gray Area You Need to Understand What defines a sophisticated investor and how to evaluate suitability Why Rule 506(b) limits the number of these investors to 35 The risk tolerance, intent, and understanding needed to qualify       Connect with Dugan:   LinkedIn: https://www.linkedin.com/in/dugan-kelley-0019b435/     Key Quotes:   “If your purpose is to raise capital and the buyer's purpose is to receive a profit, you're selling a security.” — Dugan Kelley   “If your deal is missing a company agreement or key disclosures, that's a red flag—don't invest.” — Dugan Kelley     Visit sponsorcloud.io/contact today and unlock $2,000 of free services exclusively for REI Rocks community members! Get automated syndication and investor relationship management tools to save time and money. Mention your part of the REI Rocks community for exclusive offers. Help make affordable, low-cost education summits possible. Check out Sponsor Cloud today!

Law of Code
#145 - How Peer-to-Peer transactions are regulated differently online vs. in-person, with Tuongvy Le

Law of Code

Play Episode Listen Later Apr 30, 2025 38:08


If the law were truly “technology-neutral,” what would that look like in practice for a P2P securities transaction via smart contracts?In this episode, Jacob Robinson is joined by Tuongvy Le (@TuongvyLe12), who has served as General Counsel of Anchorage Digital, Partner and Head of Regulatory and Policy at Bain Capital Crypto, and Deputy GC and Compliance Officer at Worldcoin. She also spent almost six years at the SEC as Senior Counsel in the Division of Enforcement and Chief Counsel of the Legislative and Intergovernmental Affairs Office.Together, they discuss her recent Fortune article on why the SEC needs to take a hands-off approach to peer-to-peer transactions (link) and market structure history and regulation (link).Timestamps:➡️ 00:00 Intro➡️ 0:46 Sponsor: Day One Law➡️ 03:43 Peer-to-Peer Transactions: Analog vs. Digital➡️ 06:36 The Intersection of DeFi and Securities Law➡️ 12:40 Industry Self-Regulation and Best Practices➡️ 15:40 Understanding Market Structure: A Historical Context➡️ 24:31 Designing a New Market Structure for Crypto➡️ 32:25 The SEC's Evolving Stance on Crypto InnovationThis episode is brought to you by Day One Law — a boutique law firm helping crypto startups navigate complex legal challenges. Visit https://www.dayonelaw.xyz/ to get in touch.Disclaimer: Jacob Robinson and his guests are not your lawyer. Nothing herein or mentioned on the Law of Code podcast should be construed as legal advice. The material published is intended for informational, educational, and entertainment purposes only. Please seek the advice of counsel, and do not apply any of the generalized material to your individual facts or circumstances without speaking to an attorney.

Investor Fuel Real Estate Investing Mastermind - Audio Version
Scale Smarter, Not Harder: The Ultimate Guide to Using OPM

Investor Fuel Real Estate Investing Mastermind - Audio Version

Play Episode Listen Later Apr 18, 2025 35:09


In this conversation, Brett McCollum and Bethany LaFlam discuss the intricacies of scaling real estate investments using other people's money (OPM). Bethany shares her journey from law to real estate syndication, emphasizing the importance of legal compliance and effective communication with investors. They explore the challenges posed by market shifts and the necessity of maintaining transparency with investors. Bethany also introduces her subscription-based model for legal services and her new book, 'The Power of OPE,' which focuses on leveraging other people's resources for business growth.   Professional Real Estate Investors - How we can help you: Investor Fuel Mastermind:  Learn more about the Investor Fuel Mastermind, including 100% deal financing, massive discounts from vendors and sponsors you're already using, our world class community of over 150 members, and SO much more here: http://www.investorfuel.com/apply   Investor Machine Marketing Partnership:  Are you looking for consistent, high quality lead generation? Investor Machine is America's #1 lead generation service professional investors. Investor Machine provides true ‘white glove' support to help you build the perfect marketing plan, then we'll execute it for you…talking and working together on an ongoing basis to help you hit YOUR goals! Learn more here: http://www.investormachine.com   Coaching with Mike Hambright:  Interested in 1 on 1 coaching with Mike Hambright? Mike coaches entrepreneurs looking to level up, build coaching or service based businesses (Mike runs multiple 7 and 8 figure a year businesses), building a coaching program and more. Learn more here: https://investorfuel.com/coachingwithmike   Attend a Vacation/Mastermind Retreat with Mike Hambright: Interested in joining a “mini-mastermind” with Mike and his private clients on an upcoming “Retreat”, either at locations like Cabo San Lucas, Napa, Park City ski trip, Yellowstone, or even at Mike's East Texas “Big H Ranch”? Learn more here: http://www.investorfuel.com/retreat   Property Insurance: Join the largest and most investor friendly property insurance provider in 2 minutes. Free to join, and insure all your flips and rentals within minutes! There is NO easier insurance provider on the planet (turn insurance on or off in 1 minute without talking to anyone!), and there's no 15-30% agent mark up through this platform!  Register here: https://myinvestorinsurance.com/   New Real Estate Investors - How we can work together: Investor Fuel Club (Coaching and Deal Partner Community): Looking to kickstart your real estate investing career? Join our one of a kind Coaching Community, Investor Fuel Club, where you'll get trained by some of the best real estate investors in America, and partner with them on deals! You don't need $ for deals…we'll partner with you and hold your hand along the way! Learn More here: http://www.investorfuel.com/club   —--------------------

Heart Of The Matter - A Podcast On Legal Developments From Around The World
Reforming Insider Trading: Enhancing Integrity and Fairness in U.S. Securities Law

Heart Of The Matter - A Podcast On Legal Developments From Around The World

Play Episode Listen Later Mar 23, 2025 33:48


Discover why the U.S. securities laws, despite being considered the global "gold standard," have significant flaws in their insider trading framework. Professor Marc Steinberg reveals how the current system, based on vague fiduciary duty concepts, creates unfair outcomes and legal uncertainties.Drawing from his book "Rethinking Securities Law," Steinberg highlights the stark contrast between U.S. regulations and other developed markets. While other jurisdictions clearly prohibit trading on material non-public information, the U.S. approach leaves concerning loopholes, particularly in M&A situations.Key insights include:The need for a comprehensive "access" approach to insider trading rulesProblems with SEC's extraterritorial enforcementTensions between SEC regulations and Supreme Court decisionsComparison with more effective EU and Singapore modelsReady to dive deep into the complexities of securities law and understand why reform is crucial? Listen to this eye-opening episode that challenges everything you thought you knew about U.S. insider trading regulations.Our GuestMarc I. SteinbergMarc I. Steinberg is the Radford Professor of Law at the SMU School of Law. He has served as a Professor, Fellow, or has lectured at several other prominent universities, including the University of Cambridge, Oxford University, King's College London, University of Hong Kong, and University of Pennsylvania.  Professor Steinberg was an attorney for the U.S. Securities and Exchange Commission (SEC). He also has been retained as an expert witness in several high profile cases.  Professor Steinberg is the most prolific author of securities law scholarship in the United States, having authored more than 150 law review articles as well as approximately 50 books. He is editor-in-chief of The International Lawyer and The Securities Regulation Law Journal.  Our HostAjay ShamdasaniAjay Shamdasani is a veteran writer, editor and researcher based in Hong Kong. He holds an AB in history and government from Ripon College, JD and MIPCT degrees from the University of New Hampshire Franklin Pierce Law School, and an LLM in financial regulation from the Illinois Institute of Technology's Chicago-Kent College of Law.His 15-year long career as a financial and legal journalist began as deputy editor of A Plus magazine – the journal of the Hong Kong Institute of Certified Public Accountants. From there, he assumed the helm of Macau Business magazine as its editor-in-chief, and later, joined Asialaw magazine as its deputy editor.More recently, he spent close to seven years as a senior correspondent with Thomson Reuters' subscription-based trade-wire service Regulatory Intelligence/Compliance Complete (previously called Complinet) in Hong Kong. While there, he covered regulatory developments in that city, as well as Singapore, India and South Korea.

Crazy Wisdom
Episode #419: Bitcoin, Bureaucracy, and the AI Takeover: A No-BS Look at What's Next with Terrance Yang

Crazy Wisdom

Play Episode Listen Later Dec 20, 2024 70:13


On this episode of the Crazy Wisdom Podcast, host Stewart Alsop sits down with returning guest Terrance Yang for a wide-ranging discussion on critical financial and societal issues. They explore the state of U.S. federal debt, drawing comparisons to historical periods like World War II, and consider modern-day parallels with Argentina's economic struggles and the election of Javier Milei. The conversation shifts to broader reflections on government waste, regulatory overreach, and the potential for AI to streamline bureaucracy and disrupt traditional finance. Terrance shares sharp insights on Bitcoin as a long-term investment and critiques other cryptocurrencies as vehicles for insider speculation. The episode also touches on market-making, trading psychology, and the rise of autonomous vehicles, hinting at the transformative impact of AI-driven innovation. You can connect with Terrance through his LinkedIn profile.Check out this GPT we trained on the conversation!Timestamps00:00 Introduction and Guest Welcome00:35 Discussing U.S. Debt and Financial Insights02:14 Historical Context and Comparisons04:38 Libertarian Governments and Economic Policies08:55 Government Spending and Regulation18:21 Homelessness and Urban Challenges23:06 Bitcoin and Cryptocurrency Insights26:22 Investment Strategies and Market Dynamics33:28 AI and Future Investments34:06 AI Market Predictions and Amazon's Strategy36:37 The Struggles of Big Tech with AI Integration38:21 The Future of Self-Driving and Flying Cars42:22 Investment Advice: Bitcoin and AI53:52 Argentina's Economic Lessons01:04:23 The Role of AI in Government and Society01:08:12 Conclusion and Contact InformationKey Insights1. The U.S. Debt Crisis Has Parallels to World War II, But the Path Forward is UnclearTerrance Yang highlights how the current U.S. debt situation resembles the debt spike seen during World War II. Back then, the U.S. "grew its way out" of debt as GDP growth outpaced debt growth. However, today's environment is more complex, with federal net outlays growing at an unsustainable rate. While the debt-to-GDP ratio appears alarming, Yang suggests that focusing on cash flow (tax revenue minus expenditures) as a percentage of GDP offers a more nuanced view. The big question is whether the U.S. can grow its way out of debt again or if fundamental spending cuts are required.2. Bitcoin is a Long-Term Bet, But Most Other Cryptos Are Insider GamesYang views Bitcoin as the only viable long-term store of value among cryptocurrencies, while labeling most altcoins as speculative vehicles designed to "pump and dump" retail investors. He advises listeners to avoid trading Bitcoin due to the dominance of market makers like Goldman Sachs, who use superior data and trading models. Instead, he recommends dollar-cost averaging and focusing on the long-term potential of Bitcoin as "digital gold." Yang cautions against chasing short-term gains in crypto, comparing it to amateur players trying to compete with professional athletes.3. Regulatory Overreach is Stifling American Efficiency, But AI Could Change ThatThe conversation critiques the inefficiencies in U.S. government bureaucracy, using California's high-speed rail project as a cautionary tale of regulatory bloat and government waste. Terrance Yang believes AI has the potential to streamline government services, automate repetitive tasks, and reduce the need for an ever-expanding workforce. He suggests that as government employees retire, many of their roles could be replaced with AI systems, leading to leaner, more efficient public institutions. This vision echoes similar efficiency models seen in Singapore and other high-performing nations.4. The Rise of AI-Enhanced Legal and Coding ProductivityYang points out how large language models (LLMs) like ChatGPT Pro are already allowing people to reduce their reliance on lawyers and coders. People are saving thousands of dollars in legal fees by using AI to review contracts and analyze legal risks. In coding, AI tools are helping developers find errors, refactor code, and improve efficiency. Yang himself plans to use AI to help document Bitcoin's core code, a project aimed at making the codebase more accessible to non-technical users. This marks a major shift in the accessibility of technical knowledge.5. Trading is a Rigged Game, and Most People Should Stay OutYang compares day trading to amateur athletes trying to compete with NBA stars like LeBron James. Most retail investors are going up against highly sophisticated market makers like Citadel and Jane Street, who have access to superior information, tools, and algorithms. He explains that market makers profit by always being ready to buy and sell, unlike retail traders who get caught up in emotional decision-making. The best option for most people, Yang says, is to avoid trading entirely and instead invest in low-cost index funds, like the Vanguard S&P 500 fund.6. Argentina's Crisis Offers Lessons for the U.S. on Debt and Welfare StatesDrawing on Argentina's economic collapse, the conversation explores how unsustainable welfare policies and out-of-control debt can bring a nation to its knees. Stewart Alsop notes that while Argentina's citizens are acutely aware of their country's fiscal dysfunction, many Americans remain oblivious to similar risks in the U.S. Yang and Alsop highlight that Argentina's reliance on printing pesos mirrors what could happen if the U.S. dollar's dominance weakens. Javier Milei's rise as Argentina's libertarian president signals a possible shift away from this broken system, but the U.S. appears far from having its own "wake-up moment."7. AI-Driven Automation Will Reshape Cities, Transportation, and JobsWaymo's driverless cars, which are already being tested in Los Angeles, represent a fundamental shift in how cities will operate in the future. Yang explains how autonomous vehicles could make traffic "less painful" by allowing passengers to be productive while stuck in slow-moving traffic. This shift will likely spur greater suburbanization as people find it more tolerable to live farther from work. Coupled with AI-driven automation in government and the workforce, the nature of cities and daily life is poised for a profound transformation, with L.A. potentially becoming more livable than it has been in decades.

China Daily Podcast
英语新闻丨涉恒大财务造假!普华永道被重罚

China Daily Podcast

Play Episode Listen Later Sep 19, 2024 3:29


Chinese authorities have slapped 441 million yuan ($62.1 million) in penalties and imposed a six-month business suspension on PwC's auditing unit in the country, after the entity was found to have "covered up and even condoned" fraud at Evergrande Real Estate Group.中国证监会、财政部就普华永道中国审计部门“掩盖甚至纵容”恒大地产财务造假的违法行为,处以罚款4.41亿元人民币(合6,210万美元),并暂停经营业务6个月。The China Securities Regulatory Commission said on Friday that PwC Zhong Tian LLP had failed to exercise due diligence in its audit of Evergrande Real Estate Group, the flagship subsidiary of Evergrande Group.13日,中国证监会表示,普华永道中天会计师事务所在对中国恒大集团旗舰子公司恒大地产集团有限公司进行审计时未勤勉尽责。In May, the CSRC had fined the troubled real estate developer some 4.18 billion yuan for fraudulent bond issuances and false statements.今年5月,中国证监会因其欺诈发行公司债券和虚假记载行为,对陷入困境的恒大地产处以约41.8亿元的罚款。Based on China's Securities Law, the commission confiscated the auditing unit's revenue involved in the Evergrande case of 27.74 million yuan and fined it 297 million yuan — totaling about 325 million yuan, which, according to the commission, was a "record-breaking" punishment against auditing firms.依据《中华人民共和国证券法》,中国证监会没收普华永道涉恒大地产案收入2774万元,罚款2.97亿元,总计约3.25亿元。中国证监会称,这是针对审计公司的“创纪录”处罚。The Ministry of Finance also said on Friday that, in accordance with the law of certified accountants, it had decided to impose a six-month business suspension on PwC Zhong Tian and fined it 116 million yuan, while closing down its Guangzhou office.13日,财政部也表示,依据《中华人民共和国注册会计师法》,决定对普华永道中天处以1.16亿元罚款,暂停经营业务6个月,同时撤销普华永道广州分所。CSRC and the Finance Ministry have examined PwC's role in the Evergrande fraud, in which the developer was found to have engaged in five fraudulent bond issuances based on false statements in the annual reports of 2019 and 2020.中国证监会和财政部已对普华永道在恒大地产欺诈案中扮演的角色进行了审查,发现恒大地产2019年、2020年的年报存在虚假记载,相关5次公司债券发行构成欺诈发行。CSRC said PwC Zhong Tian had violated multiple audit standards with inaccurate working papers and ineffective on-site inspections, failed to detect Evergrande's fraud and issued unqualified audit reports.中国证监会称,普华永道中天违反多项审计准则,审计工作底稿失真,现场走访程序失效,未能发现恒大地产的欺诈行为,并出具了标准无保留意见审计报告。"PwC's actions were not merely simple audit negligence or failure. To some extent, it covered up and even condoned Evergrande Real Estate's financial fraud and fraudulent bond issuances.“普华永道上述行为,不只是简单的审计失职、失效行为,它在一定程度上掩盖甚至纵容了恒大地产财务造假和欺诈发行公司债券。”"The actions severely eroded the foundation of law and integrity, significantly harmed the legitimate rights and interests of investors, seriously undermined market confidence and should be severely punished according to the law," said CSRC.对此,中国证监会表示:“这些行为严重侵蚀法律和诚信基础,严重损害投资者合法权益,严重破坏市场信心,依法应予严惩。”Citing the case, the Finance Ministry said it will continue to enhance supervision and inspection.财政部援引该案例表示,将继续加强监督和检查。"For any discovered cases of accounting and auditing fraud, we will investigate and punish them severely to ensure that regulation has 'teeth and thorns'."“对于发现的任何会计审计造假案件,我们都将严厉查处,确保监管‘长牙带刺'”。PwC issued a statement on its global website to say that PwC Zhong Tian's work in Evergrande's case fell unacceptably below expected standards. It said it respects the regulators' decisions and that it would fully comply with the administrative penalties.普华永道在其全球网站上发表声明称,普华永道中天对恒大地产的审计工作严重低于预期标准,令人无法接受。普华永道尊重监管机构的决定,并将全力遵守行政处罚。Dai Guanchun, a senior capital markets lawyer, said the punishments indicate that Chinese regulators are intensifying their crackdown on violations by capital market intermediary institutions according to law.资本市场资深律师戴冠春表示,这些处罚表明中国监管机构正在依法加强对资本市场中介机构违法违规行为的打击力度。The case could help deter other institutions from misbehavior as it would result in not only financial losses but reputational damage to PwC's China business, Dai added.戴冠春补充道,此案有助于遏制其他机构的不当行为,因为这不仅会给普华永道的中国业务带来经济损失,还会造成声誉受损。

The Scoop
Securities law professor: It's time for Uniswap to 'prepare for war'

The Scoop

Play Episode Listen Later Apr 12, 2024 22:25


Professor J.W. Verret teaches corporate and securities law and financial accounting at George Mason Law School. In this episode of The Scoop,  Verret discusses the potential legal challenges that Uniswap may face from the Securities and Exchange Commission and highlights the similarities between the Coinbase case and the possible claims against Uniswap. Verret says the charges the SEC is likely to bring against Uniswap could include operating as an unlicensed broker dealer, operating an unregistered exchange, and/or selling unregistered securities.

The Angel Next Door
The SEC's Role in Empowering Entrepreneurs and Angel Investors

The Angel Next Door

Play Episode Listen Later Apr 11, 2024 31:05


Are you an aspiring entrepreneur looking to navigate the complex world of small business capital formation, aka raising money? In the latest episode of The Angel Next Door Podcast, host Marcia Dawood engages in an insightful conversation with Stacey Bowers, Director of the Office of the Advocate for Small Business Capital Formation at the Securities and Exchange Commission. Stacey shares her extensive experience, ranging from working in securities law to representing founders and small businesses in raising capital, eventually leading her back to the SEC in a significant role. The episode goes into the crucial role of the Office of Advocacy in amplifying the voices of small businesses and investors to advance their interests in the capital markets.In a stimulating discussion, Stacey unveils the vital functions of the Office of Advocacy, shedding light on its mission to support small businesses, investors, and underrepresented entities. The office undertakes substantial outreach, collects data, and publishes an annual report that encapsulates the challenges and experiences of small businesses and investors. The episode emphasizes the array of educational resources available, including a glossary to demystify legal jargon and a funding roadmap to guide potential entrepreneurs in their capital-raising endeavors. With an emphasis on promoting awareness and engagement, this episode is a must-listen for both aspiring entrepreneurs and angel investors seeking comprehensive insights into small business capital formation and the vital support available through the SEC's Office of Advocacy. To get the latest from Stacey Bowers, you can follow her below!LinkedIn - https://www.linkedin.com/in/stacey-bowers-1a65ba/https://www.sec.gov/news/press-release/2024-32024 SEC Small Business Forum Sign up for Marcia's newsletter to receive tips and the latest on Angel Investing!Website: www.marciadawood.comLearn more about the documentary Show Her the Money: www.showherthemoneymovie.comAnd don't forget to follow us wherever you are!Apple Podcasts: https://pod.link/1586445642.appleSpotify: https://pod.link/1586445642.spotifyLinkedIn: https://www.linkedin.com/company/angel-next-door-podcast/Instagram: https://www.instagram.com/theangelnextdoorpodcast/TikTok: https://www.tiktok.com/@marciadawood

Cambridge Law: Public Lectures from the Faculty of Law
'Rethinking Securities Law': 3CL Lecture

Cambridge Law: Public Lectures from the Faculty of Law

Play Episode Listen Later Oct 11, 2023 32:35


Speaker: Professor Marc I. Steinberg (SMU Dedman School of Law)Abstract: This presentation, based on Professor Steinberg's recent Oxford University Press book Rethinking Securities Law, which was awarded Winner — Best Law Book of 2021 by the American Book Fest Awards, focuses on the need to “rethink” the U.S. securities laws — with particular emphasis on the Securities Act of 1933 and the Securities Exchange Act of 1934 (and as amended). In both transactional and litigation settings, with frequency, U.S. securities law mandates apply that are erratic and antithetical to sound public policy. The objective of this book — and the presentation — is to highlight the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. The book has received widespread favorable reviews from both practitioners and academicians. Professor Steinberg will focus on several key subjects that are addressed in the book.3CL runs the 3CL Travers Smith Lunchtime Seminar Series, featuring leading academics from the Faculty, and high-profile practitioners.For more information see the Centre for Corporate and Commercial Law website at http://www.3cl.law.cam.ac.uk/

Cambridge Law: Public Lectures from the Faculty of Law
'Rethinking Securities Law': 3CL Lecture

Cambridge Law: Public Lectures from the Faculty of Law

Play Episode Listen Later Oct 11, 2023 32:35


Speaker: Professor Marc I. Steinberg (SMU Dedman School of Law)Abstract: This presentation, based on Professor Steinberg's recent Oxford University Press book Rethinking Securities Law, which was awarded Winner — Best Law Book of 2021 by the American Book Fest Awards, focuses on the need to “rethink” the U.S. securities laws — with particular emphasis on the Securities Act of 1933 and the Securities Exchange Act of 1934 (and as amended). In both transactional and litigation settings, with frequency, U.S. securities law mandates apply that are erratic and antithetical to sound public policy. The objective of this book — and the presentation — is to highlight the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. The book has received widespread favorable reviews from both practitioners and academicians. Professor Steinberg will focus on several key subjects that are addressed in the book.3CL runs the 3CL Travers Smith Lunchtime Seminar Series, featuring leading academics from the Faculty, and high-profile practitioners.For more information see the Centre for Corporate and Commercial Law website at http://www.3cl.law.cam.ac.uk/

IFN OnAir
Islamic Sustainable Finance and Investment Dialogue

IFN OnAir

Play Episode Listen Later Oct 6, 2023 42:17


What represents a blueprint for advancing the transition to a low-carbon economy via effective stakeholder collaboration, regulation, resource allocation, positioning and product innovation in the Omani financial services sector?What are the implications for the Islamic sustainable financial services sector of the introduction of various regulatory taxonomies, frameworks and standards?How will new bond and Sukuk regulations, as part of the executive regulations to the Securities Law, accommodate and facilitate sustainable finance in Oman?What are current tax and operational cost incentive frameworks for the development of Islamic sustainable finance and investment products in Oman? Are they effective, and what more can be done?The juxtaposition facing the GCC: funding the hydrocarbon sector, while simultaneously developing a thriving green and sustainable finance sectorAre we sufficiently capitalizing on the powerful synergies between sustainable finance and Islamic finance and how do we effectively position the sector?What are important criteria in the development of Islamic sustainable finance and investment products, and are we successfully developing products which satisfy both Shariah and ESG requirements?What approaches are large regional institutional investors taking to sustainable finance and investment, and what can be learnt from this?How do we fund clean energy, sustainable activities and social projects in Oman such through an effective, liquid Islamic capital market?How do we continue to measure impact from green and sustainable issuance? What tools are available for issuers and investors for this purpose?Moderator:Luma Saqqaf, CEO, Ajyal Sustainability ConsultingPanelists:Asad Qayyum, Managing Partner, MAQ Legal Kemal Rizadi Arbi, Expert/Advisor, Capital Market Authority, Sultanate of Oman Khalid Al Kayed, CEO, Bank Nizwa Shahariah Shaharudin, President, Saturna Malaysia Talha Ahmed Khan, Country Manager and Head Global Investment Unit, Pak Oman Investment Company Thamer Al Shahry, Partner, Said Al Shahry & Partners

IFN OnAir
Driving the Development of Shariah Compliant Direct Investment and Fund & Asset Management in Oman

IFN OnAir

Play Episode Listen Later Oct 2, 2023 44:42


Building on the success of Shariah compliant real estate investment funds and trusts domiciled in Oman, as well as direct investment into real estate assets in the Sultanate.Opportunities for regional Shariah compliant funds domiciled in Oman: equity, Sukuk and private equity funds.Private equity and venture capital investment — framework enhancements, cross-border and foreign direct investment opportunities.Changes to fund regulatory frameworks resulting from the executive regulations to the Securities Law, and implications for various fund structures.Exploring the potential for the application of Waqf to Islamic funds in Oman.The prospects for Islamic sustainable investing in the Sultanate.Moderator:Mike Tirman, Partner, Ice MillerPanelists:Anand Raghavendran, Head of Asset Management, BankDhofarHassan Ali Ansari, CFO, Takaful OmanSalman Kabani, Sr. Head of Enterprise Risk and Strategy, Bank NizwaShahariah Shaharudin, President, Saturna MalaysiaTalha Ahmed Khan, Country Manager and Head of Global Investment Unit, Pak Oman Investment Company

Administrative Static Podcast
NCLA Asks SCOTUS to Hear Securities Law Appeal with Major 1 st Amendment Implications

Administrative Static Podcast

Play Episode Listen Later Aug 8, 2023 25:00


NCLA Asks SCOTUS to Hear Securities Law Appeal with Major 1st AmendmentImplications NCLA has filed a petition for a writ of certiorari in Lemelson, et al. v. SEC, asking the U.S. Supreme Court to hear a case that poses an important First Amendment issue. May the SEC punish commentary about publicly traded corporations that contains a few purported misstatements or omissions when a jury has cleared the accused of all fraud and deception charges? Surprisingly perhaps, the Supreme Court has never answered this question. So, for now, the SEC punishes such speech freely. Mark describes NCLA's U.S. Supreme Court petition for a writ of certiorari in Lemelson v. SEC. 9th Circuit Hears Arguments in McDonald v. Lawson NCLA Litigation Counsel Jenin Younes discusses the recent oral arguments before the U.S.Court of Appeals for the Ninth Circuit in McDonald v. Lawson, an NCLA amicus case.See omnystudio.com/listener for privacy information.

The Scoop
Landmark XRP ruling could force SEC to settle with Coinbase, says securities law professor

The Scoop

Play Episode Listen Later Jul 15, 2023 26:55


Professor J.W. Verret teaches corporate and securities law and financial accounting at George Mason Law School.  In this episode, Verret analyzes the recent verdict on Ripple's XRP token which concludes that "Ripple's Programmatic Sales of XRP did not constitute the offer and sale of investment contracts." In addition to providing a degree of regulatory clarity for crypto assets, Verret also argues that the court's decision in the XRP case will greatly improve Coinbase's chances in their court case against the SEC. Outline: 1:05 - XRP Court Verdict 6:00 - Coinbase Re-listing XRP 7:15 - Coinbase vs. SEC 9:55 - Will the SEC Settle? 12:08 - Appellate Court 13:04 - New SEC Chair 14:06 - Unregistered Securities 15:00 - Major Questions Doctrine 16:22 - Crypto Legislation 17:00 - Partisan Politics 20:40 - Spot Bitcoin ETF 22:05 - Closing Thoughts

The Vivek Show
The Crypto Frontier: Regulatory Frameworks and their Future with Mark Lurie

The Vivek Show

Play Episode Listen Later Jul 10, 2023 30:20


In this episode of The Vivek Ramaswamy Show, Vivek engages in a riveting discussion with his college friend, cryptocurrency expert Mark Lurie. This dialogue centers around cryptocurrency's role in modern financial systems and its interaction with traditional regulations. Mark insightfully dives into topics like Bitcoin's initial appeal, the potential disruption caused by crypto, and its need for a distinct regulatory approach. The latter half of the episode explores securities law, the concept of 'Know Your Transaction', and possible changes to accommodate crypto in these laws. Finally, a fascinating talk about crypto's ability to check the administrative state, serve as an opt-out jurisdiction, and its potential long-term impacts ensues. The episode concludes with reflections on a recent political event they both attended.--Donate here: https://t.co/PE1rfuVBmbFor more content follow me here:Twitter - @VivekGRamaswamyInstagram - @vivekgramaswamyFacebook - http://facebook.com/VivekGRamaswamyTruth Social - @VivekRamaswamyRumble - @VivekRamaswamy--Time-codes:00:01:14 - Vivek introduces Mark Lurie, a cryptocurrency authority, who starts sharing his insightful views on the subject.00:05:00 - Mark discusses the potential impact of cryptocurrency on the traditional financial system, highlighting its ability to disrupt the status quo.00:08:25 - Vivek delves into the idea of 'opting in' to traditional regulations for legal protections, bringing new perspectives to the crypto community's autonomy.00:14:19 - Mark introduces the concept of 'Know Your Transaction' (KYT), proposing it as a bridge between the crypto and traditional financial worlds.00:19:00 - Vivek comments on the purposeful vagueness of securities laws, questioning its intention to empower regulatory bodies.00:24:30 - Mark talks about how cryptocurrency can serve as a check and balance on the administrative state, sparking debates on checks and balances.00:26:30 - The discussion concludes with Mark and Vivek envisaging the long-term goals of cryptocurrency and its potential societal impact. 

The Scoop
Securities law professor analyzes the SEC's crypto crackdown: Part 2

The Scoop

Play Episode Listen Later Jun 20, 2023 38:55


Previously on The Scoop, Professor J.W. Verret explained how the ‘major questions doctrine' could put an end to SEC Chair Gensler's regulation by enforcement. In this episode, Verret continues his analysis of the SEC's recent enforcement actions against Coinbase and Binance, and examines the ways in which U.S. regulation of the crypto industry might be able to strike a balance between innovation and consumer protection. This episode is brought to you by our sponsors PayPal and CleanSpark. About PayPal Make your crypto move with PayPal. Get started today at PayPal.com/crypto About CleanSpark CleanSpark (NASDAQ: CLSK) is America's Bitcoin Miner™. Visit cleanspark.com/theblock to learn more about the CleanSpark way.

The Scoop
Securities law professor analyzes the SEC's crypto crackdown: Part 1

The Scoop

Play Episode Listen Later Jun 19, 2023 44:25


Professor J.W. Verret teaches corporate and securities law and financial accounting at George Mason Law School. From May 2018 to March 2022, Professor Verret served as an Advisory Committee Member to the U.S. Securities and Exchange Commission where he represented the interests of investors in making recommendations to SEC Chair Gensler and other Commissioners. In part one of this two part interview, Verret explains how a principle of administrative law in the United States known as the 'major questions doctrine' could challenge the SEC's use of the Howey Test to determine if an asset is a security under federal law. According to Verret, the major questions doctrine is a way for the court to check the power of independent agencies: "If Congress has not given you specific authority to regulate a thing as an agency and you're seeking to regulate it, if it involves a major question of national, economic or political importance, then you need to get authorization from Congress before you do anything." The major questions doctrine will likely not be discussed until the SEC's lawsuits against Coinbase and Binance.US reach the appellate courts, says Verret, "but it's one of the things that looms over these cases, without a doubt." This episode is brought to you by our sponsors PayPal and CleanSpark. About PayPal Make your crypto move with PayPal. Get started today at PayPal.com/crypto About CleanSpark CleanSpark (NASDAQ: CLSK) is America's Bitcoin Miner™. Visit cleanspark.com/theblock to learn more about the CleanSpark way.

The Capital Raiser Show
Stacey Bowers, Esq. Preview: Securities Law for Syndicators

The Capital Raiser Show

Play Episode Listen Later Apr 21, 2023 1:28


You are asking for trouble if you are raising capital without an understanding of securities law for syndications. As soon as you have 1 person who is passive in your deal it becomes a security and is subject to SEC Federal Regulations. Educate and refresh your understanding of this by spending time with lawyers like Stacey Bowers, Esq. On the full show we covered: Helping syndicators understand lawyer's roles. Exemptions and understanding syndication structures. Securities law compliances. Shop talk on Fund of Funds. When can a fund manager be viewed as an investment advisor? Being cognizant of securities acts that affect the syndicator. When might fund managers consider getting a securities license? The different exemptions . Reg. A+ vs Reg. CF. Why would a syndicator would start a fund? Fund Administration can be a mess! How to violate securities laws. What kind of solicitation is allowed for 506(c)? What is conditioning the market? Can The FBI knock on your door if your LP is a criminal? Find Stacey at www.3pillarslaw.com   Get all your syndication and capital raising marketing at pitchdecks.com  If you would like to find out more about Family Office Capital Raising events you can visit lnkd.in/gD6mJ5gp Book a call with Ruben at calendly.com/rlgreth  

How Did They Do It? Real Estate
SA629 | Legal Entities, Capital Raising, and Securities Law in RE Syndications with Gene Trowbridge, Esq.

How Did They Do It? Real Estate

Play Episode Listen Later Feb 13, 2023 29:21


We're living the #notretiringlife with Gene Trowbridge, Esq., as he tells us about his vast real estate investing and legal experiences. Learn the basic knowledge start-up syndicators should know to navigate the industry and legally protect their investors' money. So tune in to this episode!Key Takeaways to Listen forWhy do private placements offer higher yields?The various securities exemptions and which is suitable for youCertified legal advice every syndicator should know aboutFraud: What it is, its possible consequences, and how to prevent itTop 4 questions you should ask before investing with a potential partner Resources Mentioned in This EpisodeSecurities and Exchange CommissionSEC - Form DIt's a Whole New Business! by Gene Trowbridge | PaperbackFree Apartment Syndication Due Diligence Checklist for Passive Investor About Gene Trowbridge, Esq.Gene is a syndication lawyer and a founding partner of Trowbridge Law Group LLP. His law practice concentrates on commercial and investment real estate syndication through debt and equity. He is a former syndicator who raised investor capital through the broker-dealer community for ten years. Gene has represented over 625 clients in this area of practice. His book "It's a Whole New Business!" is a "how-to manual" on real estate syndication.Connect with GeneWebsite: Trowbridge Law GroupYouTube: Trowbridge LawPhone Number: (946) 570-1507To Connect With UsPlease visit our website: www.bonavestcapital.com and please click here, to leave a rating and review!SponsorGrow Your Show, LLCThinking About Creating and Growing Your Own Podcast But Not Sure Where To Start?Visit GowYourShow.com and Schedule a call with Adam A. Adams

The Encrypted Economy
When Howey Met Judges (Law). Lewis Cohen, Greg Strong, Freeman Lewin and Sarah Chen, DLx Law - E100

The Encrypted Economy

Play Episode Listen Later Jan 4, 2023 52:42 Transcription Available


On this week's episode of The Encrypted Economy, our guests are Lewis Cohen, Greg Strong, Freeman Lewin, and Sarah Chen of DLx Law. We continue our conversation on the classification of digital assets and delve deeper into the characteristics of judicially recognized security instruments. Be sure to subscribe to The Encrypted Economy for more insights on the latest developments in digital asset regulation.  Topics Covered:·       3:05    Intent of The Howey Test·       9:42    Assessing the Application of Howey to the Secondary Market·       13:14    Assessing the Approach to Contract Analysis·       15:00    Overview and Implications of the LBRY Decision ·       38:00    The Flaws of the Hinman Test·       44:50    Discussing Informational Asymmetry Resource List:·       Lewis Cohen's LinkedIn·       Lewis Cohen's Twitter·       The Ineluctable Modalities of Securities Law, why Fungible Crypto Assets Are NotSecurities?·       SEC case against LBRY of New Ham pshire·       Howey Test·       Reeves Test·       Token Safe Harbor Proposal 2.0·       Hinman Test·       Lummis-Gillibrand Responsible Financial Innovation Act Follow The Encrypted Economy on your favorite platforms!TwitterLinkedInInstagramFacebook 

Best Real Estate Investing Advice Ever
JF3020: Securities Law & Common Mistakes to Avoid ft. Tilden Moschetti

Best Real Estate Investing Advice Ever

Play Episode Listen Later Dec 11, 2022 21:17


Tilden Moschetti is the managing partner of Moschetti Syndication Law Group, a boutique syndication law firm. In this episode, he shares his expertise on securities law, the different deal structures he's seen, and some of the common mistakes he's seen clients make.    Tilden Moschetti | Real Estate Background Managing partner of Moschetti Syndication Law Group, a boutique syndication law firm.  Based in: Raleigh, NC, and Los Angeles, CA Say hi to him at: moschettilaw.com  Join the newsletter for the expert tips & investing content.   Sign up to be a guest on the show. FREE eBook: The Ultimate Guide to Multifamily Deals & Investing Register for this year's Best Ever Conference in Salt Lake City Stay in touch with us! www.bestevercre.com YouTube Facebook LinkedIn Instagram Click here to know more about our sponsors: PassiveInvesting.com | DLP Capital |Reliant

FINRA Unscripted
Enhancing Your Compliance Practice with the FINRA Institute at Georgetown CRCP Program

FINRA Unscripted

Play Episode Listen Later Nov 15, 2022 16:37


The FINRA Institute at Georgetown Certified Regulatory and Compliance Professional Program is designed to give compliance, legal and regulatory professionals an in-depth understanding of the foundation, theory and practical application of securities laws and regulation. On this episode, we hear from Jim Angel, CRCP Program Academic Director and Associate Professor with the Georgetown McDonough School of Business, and Susanne Goldsmith, a Senior Director with FINRA's Member Relations and Education team, about what makes a CRCP Program a must for FINRA member firms and their high-performing compliance staff.Resources mentioned on this episode: FINRA Institute at GeorgetownEpisode 28: A Look at the FINRA Institute at Georgetown CRCP ProgramGeorgetown360: James J AngelHave questions? Email: Membership@finra.org

Business Scholarship Podcast
Ep.161 – Marc Steinberg on Fiduciary Duty

Business Scholarship Podcast

Play Episode Listen Later Oct 27, 2022 15:20


Marc Steinberg, professor of law at SMU, joins the Business Scholarship Podcast to discuss his article To Call a Donkey a Racehorse — The Fiduciary Duty Misnomer in Corporate and Securities Law. In this article Steinberg considers the rhetoric and reality of corporate fiduciary duty and concludes that directors, officers, and controlling shareholders are not fiduciaries strictly speaking but rather should be understood as having corporate-law-specific duties. This episode is hosted by Andrew Jennings, assistant professor at Brooklyn Law School, with editing by Steven Rozenfeld, a third-year student at Brooklyn Law School.

Law Profs Are People Too

Benjamin Edwards joined the faculty of the William S. Boyd School of Law in 2017. He researches and writes about business and securities law, corporate governance, arbitration, and consumer protection. Prior to teaching, Professor Edwards practiced as a securities litigator in the New York office of Skadden, Arps, Slate, Meagher & Flom LLP. At Skadden, he represented clients in complex civil litigation, including securities class actions arising out of the Madoff Ponzi scheme and litigation arising out of the 2008 financial crisis. His writing has appeared in the Northwestern University Law Review, Washington and Lee Law Review, University of California Davis Law Review, Georgia State Law Review, William & Mary Law Review Online, Virginia Law and Business Review, Michigan Business and Entrepreneurial Law Review, Journal of Business and Securities Law, Virginia Journal of Social Policy and the Law, InvestmentNews, Wall Street Journal, Salon, The Hill, The Washington Post, BloombergView, Oxford Business Law Blog, and Columbia Blue Sky Blog. He also writes regularly for the Business Law Professor blog. Professor Edwards earned his law degree from Columbia Law School and clerked for Judge Samuel H. Mays, Jr. of the U.S. District Court for the Western District of Tennessee.

#plugintodevin - Your Mark on the World with Devin Thorpe
She Uses Securities Law As a Tool for Social Justice

#plugintodevin - Your Mark on the World with Devin Thorpe

Play Episode Listen Later Aug 2, 2022 24:48


Devin: What is your superpower?Elizabeth: My superpower. I think I have the ability to spark. Interests, movements, and to really, really get people going.Enjoy every episode!“To be honest, if [social justice] wasn’t part of my work, I would have no interest in securities,” Elizabeth Carter says, explaining how she sees the law as a tool to help underserved communities, especially women, Black and Afro-Latinx communities.“I’m a business capital attorney who represents investment companies, small businesses, even nonprofits and co-ops, with the legal strategy and compliance of raising capital from investors,” she says.Elizabeth worked in community development and sees crowdfunding as a tool incorporating community-building principles.She says her firm, Elizabeth Carter, Esq., LLC, helps people with essential securities compliance, including articles of incorporation, operating agreement, investment contracts and filings with the Securities and Exchange Commission or state regulators. She is now working to transition the firm to a co-op structure.Her focus on social justice comes from the problems she sees. “The issue is super stark. I mean, the statistics show that black women, despite being the most educated as in proportion to most with degrees, secondary degrees, leading—most likely lead—households, most likely to become entrepreneurs, are still the least likely to be funded.” She’s out to change that.Not only do underserved entrepreneurs face challenges accessing capital, Elizabeth says, they also have difficulty getting legal representation and other professional support.In this context, she says, “We have to talk about race.”She says that systemic racism is intentional. “We have to be intentional to reverse it.”For instance, she says that Black and Latinx communities are underinvested precisely because of who lives there. Too often, funding only becomes available for projects in these communities when white developers step in. She wants to see that funding available to developers, even the up-and-coming, in the community.Wanting to address these problems, Elizabeth sees herself and her team as more than lawyers. “Let’s be social equity lawyers, right? Let’s be community lawyers. Let’s focus beyond just the transactional work.”The progress she sees motivates her to keep going. “When you see a founder raise capital for their business that then brings back resources and other products and goods to real communities, that’s what really gets me going.”She sees crowdfunding as a primary tool—not a stand-alone solution—to these problems. Crowdfunding provides a model for an entrepreneur who represents the community they serve to raise capital from both the local community and the wider community. In this way, everyone in the local community benefits from the success. People outside the community who invest can earn a return on funds they commit to projects and businesses there.Elizabeth will speak at SuperCrowd22 on September 15-16. She will deliver a keynote address during the closing session of the conference. Don’t miss it! Readers register for half price with the code superpowers4good! Paid subscribers register for free. Email to ask me how.Elizabeth uses her ability to spark movements, her superpower, to both grow her business and drive the change she wants to see in the world.How to Develop Sparking Movements As a SuperpowerElizabeth is sparking movements in social justice by helping entrepreneurs, investment companies, nonprofits and co-ops. She’s also building a practice devoted to empowering women in her community.“The other part of the mission of the firm is to increase the diversity within securities law—crowdfunding right—from the legal perspective,” she says. “Black women represent about 2 percent in the legal field in general, 4 percent Black people as a whole.” She describes representation within the field of securities law as “dismal.”“Black women are the fastest growing group of entrepreneurs,” Elizabeth says. “They’re going to need support. Who’s there to support them in a way that they can feel comfortable in the way that they understand that they will have confidence that the practitioner understands their challenges? That is where we come in.”Building on her goal to expand representation of Black women practicing law, she created a clerkship program to train Black women law students.”“When I was in law school, I had no interest in securities. I just thought of Wall Street and big corporations. I said that has nothing to do with our community or anything,” Elizabeth says. “But I was wrong. It was probably because crowdfunding was still relatively new when I was in law school, and I didn’t know anything about it. Looking back, I wish someone would have told me, you know, this is something you can use for good for a superpower.”“I’m very proud of the programming we’re building because I see the changes in these young women. For instance, one of them had actually been licensed since 2003 and said, “I didn’t feel the law was for me until I started working with you because you do it so differently.”Elizabeth has a bit of advice for those who would like to develop her superpower. “Don’t think of money first. Think of if you can do anything in the world and money was not an issue, what would you do?”By following Elizabeth’s example and advice, you can develop your ability to spark movements into a superpower that will help you do more good in the world. Get full access to Superpowers for Good at devinthorpe.substack.com/subscribe

Virtual Legality
CRYPTO CATASTROPHE | Insider Trading, Coinbase and Securities Law (VL693)

Virtual Legality

Play Episode Listen Later Jul 21, 2022 33:06


When one of the biggest cryptocurrency exchanges (Coinbase) has an employee allegedly leaking valuable information to his brother and friend, the law will certainly have something to say. The question is are the DOJ and SEC right, or does the law need a full rework to fully accommodate our allegedly inevitable crypto future. This isn't a bit, we just sometimes find ourselves out in the ether...in Virtual Legality. CHECK OUT THE VIDEO AT: https://youtu.be/EafL0w48IAg #crypto #cryptocurrency #insidertrading *** WANT TO SUPPORT THE CHANNEL? UTREON - https://utreon.com/c/hoeglaw/ PATREON - https://www.patreon.com/VirtualLegality STORE - https://teespring.com/stores/hoeg-law-store BITCAST (Sundays 11AM Eastern) - https://www.youtube.com/channel/UCgHBXONMT06nX_8RZ5r32UA *** CHAPTERS 00:00 Introduction 02:25 Charges of Insider Trading 16:49 Wire Fraud Explained 21:50 What is a Security/SEC Regulation 30:09 Conclusion *** Discussed in this episode: ARTICLES https://www.wsj.com/articles/former-coinbase-employee-charged-in-alleged-insider-trading-scheme-11658420556 https://fortune.com/2022/07/21/coinbase-sec-lack-clear-digital-securities-rules-crypto-huge-missed-opportunity-faryar-shirzad/ DOJ DOCUMENTS https://www.justice.gov/usao-sdny/pr/three-charged-first-ever-cryptocurrency-insider-trading-tipping-scheme https://www.justice.gov/usao-sdny/press-release/file/1521186/download LAW https://www.law.cornell.edu/uscode/text/18/1343 https://www.law.cornell.edu/uscode/text/15/78j https://www.law.cornell.edu/cfr/text/17/240.10b-5 COINBASE DOCUMENTS https://www.coinbase.com/price/tribe https://blog.coinbase.com/a-beginners-guide-to-ethereum-tokens-fbd5611fe30b https://blog.coinbase.com/an-update-on-our-asset-listing-processes-e74421da21cc https://assets.ctfassets.net/c5bd0wqjc7v0/5NRidtW8lvwVEfSHpndWQm/78f95afa4f0ebaaefb303e1a4f172d03/Coinbase_petition_for_SEC_rulemaking.pdf https://blog.coinbase.com/the-crypto-securities-market-is-waiting-to-be-unlocked-but-first-we-need-workable-rules-c0ba63eabab3 SEC DOCUMENTS https://www.sec.gov/news/press-release/2022-127 *** "Virtual Legality" is a continuing series discussing the law, video games, software, and everything digital, hosted by Richard Hoeg, of the Hoeg Law Business Law Firm (Hoeg Law). CHECK OUT THE REST OF VIRTUAL LEGALITY HERE: https://www.youtube.com/playlist?list=PL1zDCgJzZUy9YAU61GoW-00K0TJOGnPCo DISCUSSION IS PROVIDED FOR INFORMATIONAL PURPOSES ONLY AND IS NOT TO BE CONSTRUED AS LEGAL ADVICE. INDIVIDUALS INTERESTED IN THE LEGAL TOPICS DISCUSSED IN THIS VIDEO SHOULD CONSULT WITH THEIR OWN COUNSEL. *** Twitter: @hoeglaw Web: hoeglaw.com

The Jake Dunlap Show
Empowering Others Despite Our Differences with Dr. Daryl Jones and Charles Mitchell

The Jake Dunlap Show

Play Episode Listen Later Jul 14, 2022 56:12


This week, we are doing something for the first time on the show. For the first time, I will be joined by 2 purpose driven leaders who are on missions to show others the importance of hustling against the odds and empowering each other despite our differences One of these guest's is the CEO of a purpose driven company that is ranked in the Top 500 African American Owned Companies and is the 3rd Largest Minority owned company in the state of Arizona. Outside of the business, he is very involved in non-profit work.  Our next guest is a former 20 Year Nike Executive, who covered Nike's largest region globally covering $2.3B in annual revenue. He is also a former college professor, as well as the owner of his own consulting firm. Together, they developed “The Conscious Vibe,” which has gained popularity for it's multifaceted conversations around race, politics, business and culture, all with the intention of driving forward compelling stories and building sustainable intellectual capital. The conduits to critical conversations that benefit the greater good of all people, Mr. Charles Mitchell and Dr. Daryl Jones are this week's guests on “The Jake Dunlap Show.” Dr. Daryl Jones:Dr. Jones was born in Battle Creek Michigan, and lived in 5 states before 5th grade. He spent much of his time with his mother outside of being very active in sports (Football, Track, and Baseball). Dr. Jones graduated with his Marketing undergraduate degree at Michigan State University, his MBA from DePaul University, and his Doctorate of Management, Human Behavior, Strategy, and Crisis Management from Weatherhead School of Management at Case Western Reserve.Daryl was recruited to work at Pepsi at the time they were bringing Tiger Woods on. Later, he went on to work as a Management Executive for Nike, where he held roles of Director of Diversity & Inclusion, Head of Global Sales for the 2016 Rio Olympics, and VP/GM of Nike's largest region with over $2.5B in annual revenue. He later was an Adjunct Prof. at the University of Oregon where he taught Business, Sports Marketing and Product Development. Now, he is a Leadership and Organization/Transformation Consultant at Dalmar Consulting. He also serves at the Founder/President of the E-5 Foundation, a non-profit entity focused on transformation of Chicago's underserved youth in critical areas of development. Charles Mitchell: Education was a cornerstone for Charles growing up, and this continued when he completed his undergraduate Finance degree at North Carolina Agricultural and Technical State University before obtaining his MBA at UNC, and JD in Corporate and Securities Law from American University. He also completed OPM at Harvard Business School. Charles is the Chief Executive Officer at All About People, a professional recruiting firm that sources the best and brightest talent for temp/direct to hire senior leadership roles for Fortune 50, Mid-Market, and Growth companies. They are ranked in the Top 500 African American Owned Companies, and 3rd-largest minority owned company in the state of Arizona. Together, they created the Conscious Vibe, where they interview some of today's most diverse, prolific, and interesting people to elevate intellect through conscious dialogue. These multifaceted conversations around race, politics, business and culture drive compelling stories, capture critical concepts, and build sustainable intellectual capital. Please enjoy this week's episode with Dr. Daryl Jones, and Charles Mitchell.  Dr. Daryl Jones Social Links:Website: tcvpodcast.com   LinkedIn: https://www.linkedin.com/in/dr-daryl-l-jones-90657321/Instagram:https://www.instagram.com/djthedoc/?hl=enSoundcloud: https://soundcloud.com/djthedoc Charles Mitchell Social Links:Website: tcvpodcast.com     LinkedIn: https://www.linkedin.com/in/charles-mitchell-8694581/Instagram: https://www.instagram.com/theconsciousvibepodcast/ Jake Dunlap:Personal Site - http://jakedunlap.com/LinkedIn - https://www.linkedin.com/in/jakedunlap/Twitter - https://twitter.com/JakeTDunlapInstagram - http://instagram.com/jake_dunlap _Facebook - https://www.facebook.com/JakeTDunlap/ Skaled:Website - https://skaled.com/LinkedIn - https://www.linkedin.com/company/skaled

MasterMind Minutes
KEY CHALLENGES EMERGING FRANCHISORS FACE AND HOW TO OVERCOME THEM?

MasterMind Minutes

Play Episode Listen Later Jul 13, 2022 29:06


MasterMind Minutes - One Guest, One Question, One Answer in Minutes not Hours... KEY CHALLENGES EMERGING FRANCHISORS FACE AND HOW TO OVERCOME THEM? Don't miss this week's episode, especially if you are a start-up or emerging franchisor. This week's guest is Tom Spadea. Tom Spadea is the co-founder and Partner at Spadea Lignana Franchise Attorneys. The firm has offices in Philadelphia and NY and specializes in the areas of: Franchising, Buying or Selling a Business, Lease Negotiation, Litigation, Commercial law and Securities Law. But Tom didn't start out as an attorney. He has a vast entrepreneurial background. He was the co-owner and President of a communications equipment manufacturer where he co-founded a factory in Latin America, successfully created an international sales network in Asia and invented a product for which he was granted a US Patent. He spent more than 15 years in corporate and entrepreneurial positions before completing law school. Tom has been named a “Legal Eagle” by Franchise Times Magazine, a distinguished award recognizing Tom as a leader among his peers in franchising. He is also the founding member of the Philadelphia Franchise Association and is the current President and Chairman. Contact Tom at: https://www.spadealaw.com/ Contact Gary at: gary@frangrow.com Visit: www.frangrow.com --- Support this podcast: https://anchor.fm/gary5396/support

Syndication Made Easy with Vinney (Smile) Chopra
Resolve Your Legal Issues in Real Estate Sector

Syndication Made Easy with Vinney (Smile) Chopra

Play Episode Listen Later May 10, 2022 41:05


Welcome to the Syndication Made Easy with Vinney Chopra show everybody! Today we are with Amy Wan, the founder, and CEO of Bootstrap Legal. Our topic for this conversation is Amy will be sharing her expertise and how to avoid some pretty serious legal troubles through oversights and non-disclosures. Learn the essentials and also hear some great, specific details in the Q&A following the presentation. As you enter a deal, it is vital to know the standard fees that are customary to charge to get compensation. It is essential to hire a syndication attorney to assist with the legal matters of real estate investments. Amy Wan breaks down the fees every realtor and investor should be aware of prior to making and closing deals. A well-known legal expert, Amy reveals the charges sponsors usually advance personally, the three most common ways to structure your investor distributions, and the real estate waterfall method. On the side, she gives away the things you have to take note of before taking money from investors. Topics discussed - 1. Don't pay someone to raise money for you 2. Transaction attorney 3. Enforcement attorney 4. Securities attorney 5. Local real estate attorney 6. SEC investigation 7. Syndications 8. Raising capital 9. Fund of funds 10. Changes from Covid – 19 Vinney agrees with Amy Wan as we all love our privacy, So there is an importance of Privacy Laws. It was a pleasure to interview attorney @AmyWan of BootStrap Legal to discuss Navigating the Securities Law and Capital Fund Raising. It was fun and I learned a lot! Enjoy. ------------------------------------------------ About Vinney (Smile) Chopra: Vinney is a real estate investor, syndicator, International best-selling author, host of 4 podcasts, multifamily educator, mentor, dedicated husband of over 40 years and father of 2 children-Neil and Monica, residing in Danville, California (near San Francisco) for 40+ years. Vinney came to this country with only $7 in his pocket and a dream. Vinney has now built a portfolio of over 6,500 units amounting to over $650 Million in the multifamily, senior assisted living and hospitality arenas. He is passionate about helping others achieve financial freedom and giving back to our seniors who have given us so much. Learn more about Vinney: https://vinneychopra.com/ Learn more about investing with Vinney: https://vinneychopra.com/investor/ Apply for Mentorship: https://vinneychopra.com/mentorship/ Vinney's Youtube: https://www.youtube.com/c/VinneyChopra/videos Vinney's Linkedin: https://www.linkedin.com/in/vinney-smile-chopra/ Vinney's Instagram: https://www.instagram.com/vinneychopra/ Vinney's Free Book: https://vinneychopra.com/freebook/ ------------------------------------------------

CoinDesk's Money Reimagined
DeFi and Disclosures: Securities Law in Blockchain Technology

CoinDesk's Money Reimagined

Play Episode Listen Later Apr 15, 2022 30:45


This episode is sponsored by Nexo.io, Quantstamp and EY.U.S. securities laws, largely dating back to the 1930s, are proving to be a challenge to integrate into the developing world of blockchain technology.Joining this episode of “Money Reimagined” with Sheila Warren and Michael Casey is Chris Brummer, Professor of Law at Georgetown University Law Center. Brummer introduces what defines a security, then describes where these definitions fall short when it comes to blockchain technology.Brummer's recent white paper, “Disclosure, Dapps and DeFi,” published in the Stanford Journal of Blockchain Law and Policy, details his ideas for a new disclosure framework for crypto markets. He walks through how disclosure integration with decentralized finance could achieve key policy goals like protecting against fraud, maintaining level playing fields and promoting consumer education without burdening innovation.From cash to crypto in no time with Nexo. Invest in hot coins and swap between exclusive pairs for cash back, earn up to 17% interest on your idle crypto assets and borrow against them for instant liquidity. Simple and secure. Head on to nexo.io and get started now.-Quantstamp is the leader of blockchain security, having secured over 100 billion USD worth of digital assets. Visit quantstamp.com to learn why top DeFi projects like Maker, Compound and BarnBridge trust Quantstamp to secure the financial infrastructure of tomorrow. Learn more at quantstamp.com/blog.-EY is proud to sponsor “Money Reimagined.” As businesses prepare for the token economy, EY is committed to building a better working world and connecting global business ecosystems on the public Ethereum blockchain. To learn more about the EY Blockchain portfolio of products and services, visit blockchain.ey.com.-Consensus 2022, the industry's most influential event, is happening June 9-12 in Austin, Texas. If you're looking to immerse yourself in the fast-moving world of crypto, Web 3 and NFTs, this is the festival experience for you. Use code MONEYREIMAGINED15 to get 15% off your GA and Pro pass at coindesk.com/consensus2022.This episode was produced and edited by Michele Musso with announcements by Adam B. Levine and additional production support by Eleanor Pahl. Our theme song is “Shepard.”See Privacy Policy at https://art19.com/privacy and California Privacy Notice at https://art19.com/privacy#do-not-sell-my-info.

CoinDesk Reports
MONEY REIMAGINED: DeFi and Disclosures - Securities Law in Blockchain Technology

CoinDesk Reports

Play Episode Listen Later Apr 15, 2022 30:45


This episode is sponsored by Nexo.io, Quantstamp and EY.U.S. securities laws, largely dating back to the 1930s, are proving to be a challenge to integrate into the developing world of blockchain technology.Joining this episode of “Money Reimagined” with Sheila Warren and Michael Casey is Chris Brummer, Professor of Law at Georgetown University Law Center. Brummer introduces what defines a security, then describes where these definitions fall short when it comes to blockchain technology.Brummer's recent white paper, “Disclosure, Dapps and DeFi,” published in the Stanford Journal of Blockchain Law and Policy, details his ideas for a new disclosure framework for crypto markets. He walks through how disclosure integration with decentralized finance could achieve key policy goals like protecting against fraud, maintaining level playing fields and promoting consumer education without burdening innovation.From cash to crypto in no time with Nexo. Invest in hot coins and swap between exclusive pairs for cash back, earn up to 17% interest on your idle crypto assets and borrow against them for instant liquidity. Simple and secure. Head on to nexo.io and get started now.-Quantstamp is the leader of blockchain security, having secured over 100 billion USD worth of digital assets. Visit quantstamp.com to learn why top DeFi projects like Maker, Compound and BarnBridge trust Quantstamp to secure the financial infrastructure of tomorrow. Learn more at quantstamp.com/blog.-EY is proud to sponsor “Money Reimagined.” As businesses prepare for the token economy, EY is committed to building a better working world and connecting global business ecosystems on the public Ethereum blockchain. To learn more about the EY Blockchain portfolio of products and services, visit blockchain.ey.com.-Consensus 2022, the industry's most influential event, is happening June 9-12 in Austin, Texas. If you're looking to immerse yourself in the fast-moving world of crypto, Web 3 and NFTs, this is the festival experience for you. Use code MONEYREIMAGINED15 to get 15% off your GA and Pro pass at coindesk.com/consensus2022.This episode was produced and edited by Michele Musso with announcements by Adam B. Levine and additional production support by Eleanor Pahl. Our theme song is “Shepard.”See Privacy Policy at https://art19.com/privacy and California Privacy Notice at https://art19.com/privacy#do-not-sell-my-info.

The Voice of Corporate Governance
The Public - Private Divide in Securities Law with Professor George S. Georgiev

The Voice of Corporate Governance

Play Episode Listen Later Feb 24, 2022 28:00


In this episode, CII General Counsel Jeff Mahoney interviews Professor George S. Georgiev of the Emory University School of Law. Georgiev is the author of an article recently published in N.Y.U. Journal of Law & Business entitled “The Breakdown of the Public–Private Divide in Securities Law: Causes, Consequences, and Reforms.”

The Encrypted Economy
How Can The SEC Adopt A Better Fit for Crypto? Yuliya Guseva, Professor at Rutgers Law School - Ep 68

The Encrypted Economy

Play Episode Listen Later Feb 15, 2022 49:09 Transcription Available


This week on The Encrypted Economy, we continue our conversation with Professor Yuliya Guseva from Rutgers Law School. Yuliya gives her insights on the SEC and its recent regulatory proposals, security registration issues, the importance of gatekeeper's disclosures, amongst many more topics that give listeners a snapshot of the legal environment in the blockchain economy. Be sure to subscribe to The Encrypted Economy for more coverage of the evolution of crypto regulation and other growing legal concerns that surround these new technologies.  Topics Covered:· Introduction · Regulatory Differences Between Crypto and Current Market Participants  · Concerns with Regulating and Registering Exchanges · Has Reg CF Been Beneficial in Achieving the SEC's Mandate? · What is the Appropriate Disclosure?  · Discussing Slippage   · Human Capital Disclosures Compared With Other Mandated Disclosures  · Thoughts on the Current Proposals for Crypto Regulation Resource List:· Yuliya's LinkedIn · Yuliya Guseva Rutgers Profile · Crypto-Enforcement Around the World · The SEC, Digital Assets, and Game Theory · When the Means Undermine the End: The Leviathan of Securities Law and Enforcement in Digital-Asset Markets · A Conceptual Framework for Digital-Asset Securities: Tokens and Coins as Debt and Equity · Amendments to Regulation ATS · DTCC · Regulation D · Regulation CF · Block One  · Digital Asset and Blockchain Technology Act · Virtual Currency and Blockchain Regulation ActFollow The Encrypted Economy on your favorite platforms!Twitter LinkedIn Instagram Facebook       

The Encrypted Economy
Is the SEC's Approach to Crypto Regulation a Good Fit? Yuliya Guseva, Professor & Director, Fintech and Blockchain Program @ Rutgers Law - E64

The Encrypted Economy

Play Episode Listen Later Jan 18, 2022 56:18


This week on The Encrypted Economy, our guest is Yuliya Guseva, Professor of Law at Rutgers University. In this episode, we discuss SEC actions in digital asset enforcement and whether those actions are in line with the mission of the regulator.  Be sure to subscribe to The Encrypted Economy for more coverage of the adoption of digital assets and the regulatory challenges that emerge along the way.  Topics Covered:·       Introduction·       Introduction to Crypto Regulation and Regulatory Bodies·       Takeaways from Yuliya's Research·       Comparing Investor Access to Projects Under Reg D·       Understanding the Goals of the SEC·       Cooperation Between the SEC and Crypto Projects·       Are Increases in SEC Staff Budgets a Solution?·       How Does the SEC Interpret its Mission? Resource List:· Yuliya's LinkedIn· Yuliya Guseva Rutgers Profile· Crypto-Enforcement Around the World· The SEC, Digital Assets, and Game Theory· When the Means Undermine the End: The Leviathan of Securities Law and Enforcement in Digital-Asset Markets· A Conceptual Framework for Digital-Asset Securities: Tokens and Coins as Debt and Equity· Cryptocurrency Regulation and Enforcement at the US Federal and State Levels· Regulation D· 2021 Brought SEC Focus on Crypto Exchanges and Lending Platforms· Coinbase Lending Program Shut Down     Follow The Encrypted Economy on your favorite platforms! Twitter LinkedIn Instagram Facebook      

FedSoc Events
Showcase Panel I: Social Activism and Corporate Leadership

FedSoc Events

Play Episode Listen Later Dec 13, 2021 94:22


What role should publicly traded corporations play in democratic politics?The 2021 National Lawyers Convention took place November 11-13, 2021 at the Mayflower Hotel in Washington, DC. The topic of the conference was "Public and Private Power: Preserving Freedom or Preventing Harm?" The first showcase panel discussed "Social Activism and Corporate Leadership."Corporate resources are increasingly being used to advance social justice policy goals. This corporate engagement includes advocacy for what’s presented as the “corporate perspective” on divisive social questions. It also includes the use of economic leverage to influence public opinion, affect government policy, and induce private agreements to policy choices that have not been adopted through the political process.To some, this is a positive development: it is all to the good for corporations to advance a just cause. Their public leadership and their market power can help bring the country and the world along. To others, this is an abuse and confusion of power. The goals of the “social justice” and “woke” movements are among the most hotly contested questions of American politics and culture, and they should be resolved through democratic processes without corporations putting a thumb on the scale.We will explore these questions both as matters of principle and matters of law.As a matter of principle, should corporations have unfettered discretion to influence any sphere of American life? Is such discretion good for the democratic process, and is it good for individual liberty? Is the libertarian perspective -- that private actors should be largely able to do what they want, and if they overstep, market competition will fill the gap – adequate to this dynamic? Is there any limiting principle to corporations using economic power to influence politics? As a matter of law, are corporations permitted to use whatever levers are available to them to influence matters of politics? Is corporate leadership permitted to do so in publicly traded companies? Should corporate endorsement or support of a policy position or candidate be considered a reportable lobbying expense or campaign contribution and, if so, how should it be valued? What existing legal frameworks might apply to these questions? How does Citizens United fit into this picture?Featuring:Prof. Margaret Blair, Professor of Law Emerita & Milton R. Underwood Chair in Free Enterprise Emerita, Vanderbilt University Law School; Senior Fellow, Brookings InstitutionProf. Jonathan Macey, Sam Harris Professor of Corporate Law, Corporate Finance, and Securities Law, Yale Law SchoolProf. Julia Mahoney, John S. Battle Professor of Law, University of Virginia School of LawProf. Luigi Zingales, Robert C. McCormack Distinguished Service Professor of Entrepreneurship and Finance and George G. Rinder Faculty Fellow, University of Chicago Booth School of BusinessModerator: Hon. Jeffrey S. Sutton, Chief Judge, U.S. Court of Appeals, Sixth Circuit

This Week in FCPA
Episode 280 – the Happy Holiday edition

This Week in FCPA

Play Episode Listen Later Dec 10, 2021 40:54


Hannukah came early this year and we are now in the full holiday swing of things. Tom and Jay are back to look at some of the week's top compliance and ethics stories this week in the Happy Holidays edition.  Stories 1.     New Biden Administration anti-corruption strategy revealed. Matt Kelly in Radical Compliance.   2.     Mike Volkov asks where are the FCPA enforcement actions? In Corruption Crime and Compliance. 3.     Global ESG efforts and compliance. Mike Munro in explores in the FCPA Blog. 4.     More on the OECD recommendations.  Jessica Tillipman in the FCPA Blog.    5.     DOL proposal may change ESG game. Melissa Khan in Harvard Law School Forum on Corporate Governance. 6.     Nurturing ethical culture. Matt Kelly in Risk and Compliance Matters.  7.     Is Italy a safe haven for bribe payors? Rick Messick asks in GAB.   8.     How to avoid a dystopian office culture. Rob Shavell in CCI.  9.     Top ethics and compliance failures in 2021. Jaclyn Jaeger in Compliance Week (sub req'd). 10.  When is a potential fine a threat? Keith Paul Bishop in California Corporate and Securities Law.     Podcasts and Events 11.  The recent announcement by DAG Monaco on the refocus of the DOJ's use of monitors has caused much consternation. To analyze, Affiliated Monitors sponsored a 5-part podcast series this week Not Your Father's Monitor. In this Episode 1, Bethany Hengsbach considers this change in monitorships from the white-collar enforcement and defense perspective. In Episode 2, Mikhail Reider Gordon looks at global aspects of the new DOJ monitor's focus. In Episode 3, Cristina Revelo discusses how E&C assessments help drive more compliant companies. In Episode 4, Jesse Caplan brings his views on the intersection of the twin topics of antitrust and healthcare compliance. In Episode 5, Vin DiCianni looks at where monitors and monitorships are going in 2022 and beyond. 12.  Are you exasperated? Then check, F*ing Argentina. In this podcast series co-hosts Tom Fox and Gregg Greenberg, author of F*ing Argentina explore the current American psyche of being overworked, over leveraged, overtired and overwhelmed. Find out about modern America's exasperation with well…exasperation. In our final episode, we wrap up what we learned from the series.  13.  In November on The Compliance Life, I visit with Matt Silverman, Director of Trade Compliance at VIAVI. Matt is the first Trade Compliance Director I have hosted on TCL. In Part 1, Matt details his academic career and early professional life.  14.  The Compliance Podcast Network welcomes Professor Karen Woody and her new podcast, Once Upon a Trading Law: The History of Insider Trading. In this most unique pod, Karen interviews some of her student to tell the history of insider trading. Check out Episode 1, which looks at the beginnings of insider trading.  15.  Join Tom, Mike Volkov, Carrie Penman, Dr. Pat Harned and Skip Lowney (an all-star panel if there ever was one) for the ECI webinar on the intersection of compliance and E&C programs. Wednesday, December 15, from 2-3:30 ET. Registration and information here.  Tom Fox is the Voice of Compliance and can be reached at tfox@tfoxlaw.com. Jay Rosen is Mr. Monitor and can be reached at jrosen@affiliatedmonitors.com.  Learn more about your ad choices. Visit megaphone.fm/adchoices

ValueSide
Has Pfizer Violated Securities Law?

ValueSide

Play Episode Listen Later Dec 5, 2021 8:35


A fascinating story unfolded this week, involving Pfizer, one of the principal makers of the Covid-19 Vaccine, the Food and Drug Administration, and a citizens watch dog group, named “Public Health and Medical Professionals For Transparency Documents.”

ValueSide
Did Pfizer Violate Securities Law?

ValueSide

Play Episode Listen Later Dec 4, 2021 8:35


A fascinating story unfolded this week, involving Pfizer, one of the principal makers of the Covid-19 Vaccine, the Food and Drug Administration, and a citizens watch dog group, named “Public Health and Medical Professionals For Transparency Documents.”

Thinking Aloud with BNP Paribas
Part I – Digital assets and the new German Electronic Securities Law

Thinking Aloud with BNP Paribas

Play Episode Listen Later Oct 20, 2021 10:06


In this episode Kurt Zeimers joins Alan Cameron to discuss digital assets and recent changes in the German regulatory environment and the impact these changes are having on asset managers and asset owners.

Real Estate Investor MBA
Episode 44: Ep 44: REI MBA: Joint Venture vs Syndication - Do You Know the Difference and When to Use Which?

Real Estate Investor MBA

Play Episode Listen Later Oct 17, 2021 22:01


In this episode, we had the fortunate opportunity to bring Gene Trowbridge back onto the show. I am sure you have heard terminology such as "Joint Venture", "JV" and "Syndication" being thrown around and discussed when you hear about different real estate deals. But do you really know the difference between the two? Accurately knowing the difference between both "Joint Ventures" and "Syndications" and using each of them correctly, can either put you on the right side or the wrong side of the law. In this particular episode, Gene shares a presentation that he has put together for our community reviewing the Securities Law and highlighting the difference between both Joint Ventures and Syndications. You absolutely have to listen to this interview.  Remember, this is your MBA. Have a notepad handy and get ready to take some notes! Below are few topics that we covered during the interview: ✅ Moving from Joint Venture (JV) to Security ✅ What are the differences between the two? ✅ What is a Joint Venture and how does it work? ✅ What is a Security and what do you need to know? ✅ And More.... Gene's Bio: As the founding partner of Trowbridge Law Group LLP Gene's law practice concentrates on the syndication of commercial and investment real estate, through both debt and equity. Between Gene's individual syndication practice and the firm's legal practice, the partners in the firm have written offerings for more than $5 Billion of money raised. The median offering size is $2.5M. His practice writes offerings under Rule 506(b) and 506(c) of Regulation D and Regulation A+. As former syndicator, who for ten years raised investor capital through the broker dealer community, he is able to communicate with his clients on both the technical and the practical aspects of state and federal securities laws. As a long time CCIM and CCIM Senior Instructor, now having attained Senior Emeritus status, Gene won numerous awards for his teaching ability. His book “It's a Whole New Business!” is really a how-to manual on real estate syndication. You can reach out and speak with Gene by going to his: ✅ Website: https://trowbridgelawgroup.com ✅ Phone: (949) 507-1507 ✅ YouTube Channel: Check out "Trowbridge Law" Please subscribe to the Real Estate Investor MBA Podcast on the following platforms:  YouTube iTunes Spotify Stitcher iHeart Radio TuneIN Google Podcast If you like what we are doing and see that we are providing a lot of value, please be sure to leave us a 5-star review and positive comment. In doing so, this helps us continue to attract the highest quality type guests to interview and for you to listen to. Follow us on Social Media: ✔️ Facebook✔️ LinkedIn

Blockchain Value
Season 1, Episode 4 – What are Digital Assets and Why Securities Law May Apply (with Lewis Cohen)

Blockchain Value

Play Episode Listen Later Sep 23, 2021 32:10


Lewis Cohen is the co-founder of DLx Law, a law firm founded in 2018 to serve the needs of a new, technology-driven economy. Lewis and the DLx Law team provide in-depth legal counsel to startups, growth companies, major enterprises, and governmental entities on a broad range of matters involving the use of blockchain, cryptocurrencies and other disruptive technologies. Passionate about the ability of innovative technologies to change the way businesses and individuals work together, Lewis has become a major advocate for potential of emerging technologies to benefit and transform industries around the globe. Lewis brings more than 25 years of experience advising major clients in capital markets and finance transactions. Lewis is a frequent public speaker on the topic of blockchain and distributed ledger technology. Lewis served on the Board and Executive Committee of the Structured Finance Industry Group (SFIG). Lewis is also recognized by Chambers Global as one of only three lawyers in “Band 1” for Legal: Blockchain & Cryptocurrencies – USA. Follow Lewis on Twitter: @NYCryptolawyer. In this first installment, we will begin by looking at the nature of digital assets from the perspective of a securities lawyer and explore why would securities law might apply to them. Before attempting to apply a system of regulation to a type of asset, it is important to understand the character of that type of asset and how it is similar to (or different from) other assets that are treated as “securities”. We will also briefly look at the history of securities law in the US in general to understand both its breadth of coverage and also its limitations.

inSecurities
Time to Rethink Securities Law?

inSecurities

Play Episode Listen Later Sep 9, 2021 56:26


It's time to rethink securities law, argues SMU Dedman School of Law Professor Marc Steinberg in his latest book Rethinking Securities Law. There are “many deficiencies and inconsistencies in the current regimen,” he says. Chris and Kurt sit down with Professor Steinberg to discuss his recommendations. Learn more about the book, or purchase online, at via Oxford University Press: https://global.oup.com/academic/product/rethinking-securities-law-9780197583142?cc=us&lang=en&

How I Lawyer Podcast with Jonah Perlin
#33: Brant Martin - Commercial Trial Lawyer

How I Lawyer Podcast with Jonah Perlin

Play Episode Listen Later Sep 1, 2021 50:53


In this episode I speak with Brant Martin who is a civil litigator at the Texas-based law firm Wick Phillips where he has been a partner for the past 17 years. Before joining Wick Phillips and helping to grow the firm to more than 60 attorneys across multiple offices, Brant worked in Corporate and Securities Law at a Vault 50 law firm, as a corporate counsel at a startup in New York City, and as a plaintiff-side trial lawyer in Texas. He started his legal career as a law clerk to Chief Judge Schell of the Eastern District of Texas. Brant is a graduate of SMU Law, the Yale Divinity School, and Washington & Lee University. In our conversation we discuss Brant's path from divinity school to law school; what he does as a trial lawyer representing businesses in litigation against other businesses; his approach to building a law firm and book of business; his approach to training junior lawyers; the importance of building deep, meaningful relationships with clients; and how he prepares for trial and depositions in efficient and effective ways. If you enjoy this episode, make sure to sign up for future episodes at www.howilawyer.com or to subscribe wherever you get your podcasts.

inSecurities
It's All About Connecting: The Value of PLI's IA/BD Programs

inSecurities

Play Episode Listen Later Jun 3, 2021 42:43


Kurt chats with Cliff Kirsch of Eversheds Sutherland about the benefits of PLI's investment adviser and broker-dealer resources, and about Cliff's many contributions to PLI programs and publications, including the upcoming live webcast Securities Law and Practice 2021: How the SEC Works on June 28.  ----more---- Link to PLI's Broker Dealer Blog Link to product details page for Securities Law and Practice 2021: How the SEC Works Link to Cliff Kirsch's PLI Biography and Associated Items  

The Bold Sidebar
NJ Transit $1.8 Million

The Bold Sidebar

Play Episode Listen Later Feb 24, 2021 11:40


Two cases this week.Maison v. NJ TransitAnswers the question of whether NJ Transit is a “common carrier.” Answer = yes. The court imposes common carrier liability duties on NJ Transit. The duty is more than getting people from point A to point B. The court also crafted a specific jury charge for the allocation of damages across the agency, the agency's employee and an unrelated tortfeasor. At stake a $1.8 million award to the plaintiff.Goldfarb v. SolimineEquitable remedies and statutory Securities Law collide when a financial analyst's promise of employment never materializes. The required written term sheet never materialized either. The court found the plaintiff's claims are limited to “reliance damages” not “benefit of the bargain”  damages. He can recover what he would have earned had he not relied upon the oral employment promise.Please Click here to give The BOLD SIDEBAR a nice 5-star Rating.Check out our sound engineer Nick Bates at: Bandcamp - https://nick-bates.bandcamp.com and Twitter - https://twitter.com/nickbatesmusic

Wealth Evolution Club
Investments & Securities Law – Gene Trowbridge, ESQ. CCIM

Wealth Evolution Club

Play Episode Listen Later Jan 9, 2021 28:22


In this episode I am joined by Gene Trowbridge Esq., CCIM. He is the founding partner of Trowbridge Law Group LLP. Gene's law practice concentrates on the syndication of commercial and investment real estate, through both debt and equity. Between Gene's individual syndication practice and the firm's legal practice, the partners in the firm have written offerings for more $5 Billion of money raised. Gene starts this episode briefly talking about his achievements and his contribution to the commercial and investment real estate.  He did a wonderful job about syndications, investments, and Securities Laws. What is “HOWEY test”. He further speaks on whom does Securities Law protects, 506 (b) vs 506 (c). He briefly discusses when and how securities laws came into effect? Who talks about accredited investors, sophisticated investors, and PPM? Why 506(c) was created? Gene further tells that majority of the money is raised by 506(b). I asked him about the pre-existing relationship. He explained in layman language about pre-existing and sophisticated investors. I asked him who are international investors and how they are determined? GENE strongly discourage not to accept cash. There are too many risks associated with accepting cash. Return-on-capital and Return-of-Capital is very confusing sometimes for even very seasoned investors. He did a wonderful job and made it extremely simple to understand. He talks about one of the frauds that is getting noticed very often. As we move on Gene explains who are accredited investors and who are sophisticated investors? He talks about the family office and key employees are also considered as accredited. You can reach out to Gene at  www.trowbridgelawgroup.com Please join us www.wealthevolutionclub.com

The Early Link Podcast
Ralph Smith from the Campaign for Grade-Level Reading

The Early Link Podcast

Play Episode Listen Later Sep 25, 2017 26:16


Ralph Smith is managing director of the Campaign for Grade-Level Reading (GLR), an initiative to mobilize communities to third-grade reading proficiency for children from low-income families. The GLR network now includes more than 300 Campaign communities in 42 states. Smith has served on the boards of the Council of Foundations, the Foundation Center, Venture Philanthropy Partners, and the Wells Fargo Regional Foundation. Recently, he retired as senior vice president of the Annie E. Casey Foundation and also served as a cabinet officer for the School District of Philadelphia. Previously, Smith taught Corporations and Securities Law and Education Law and Policy as a member of the Law Faculty at the University of Pennsylvania, during which time he also served as a senior advisor to Philadelphia's mayor. Smith led efforts to design and implement the school district's landmark voluntary desegregation plan, negotiate some of the nation's first education reform-driven teacher contracts, and develop Children Achieving, a district-wide blueprint supported by the Annenberg Challenge. In this interview, we discuss how GLR is designed to help communities create solutions for kids, the concept of accountable advocacy, the role of philanthropy and state leaders, and much more. Listen, download, and share!

Play to Potential Podcast
184: 17.00 Zia Mody - The full conversation

Play to Potential Podcast

Play Episode Listen Later Aug 31, 2017 39:08


GUEST  Zia Mody is an Indian legal consultant and considered an authority on Corporate Merger and Acquisition Law, Securities Law, Private Equity and Project Finance. She is an alumnus of Harvard Law School and worked for 5 years in the US with Baker and Mackenzie in New York City before returning to India. She started her own practice in Mumbai in 1984 and over the years, she has built AZB & Partners – one of India's largest and most reputed law firms where she is the Managing Partner. She has frequently appeared on Most Powerful Businesswomen and Most Powerful CEO lists over the last several years. In our conversation, we spoke about her take on how people should think about law as a career, her take on women growing to become leaders and the leaky pipeline there, trade-offs between work and life, what it takes to be a trusted advisor with a client, what it takes to build an institution of repute and more. Without further ado, over to my conversation with Zia. This conversation was published in September 2017. We value your feedback on the podcast. If you have 3 minutes, please visit http://bit.ly/p2pfdback. HOST Deepak is a Leadership Advisor and an Executive Coach. He works with leaders to improve their effectiveness and in helping them make better decisions specifically around organizational and career transitions. He currently runs Transition Insight (www.transitioninsight.com) and works with leaders to handle phases of transition thoughtfully. He has worked as an Operations Consultant with KPMG in UK, Strategy Consultant with McKinsey in the US and as a Leadership Consultant with EgonZehnder (a Swiss Leadership Advisory firm) where he helped companies recruit CEOs, CXOs and Board Members and worked on Leadership Development. Deepak is a certified CEO Coach and is an alumnus of IIT Madras, IIM Ahmedabad and London Business School. His detailed profile can be found at https://in.linkedin.com/in/djayaraman  OTHER GUESTS 1.Vijay Amritraj 2.Amish Tripathi 3.Raghu Raman 4.Papa CJ 5.Kartik Hosanagar 6.Ravi Venkatesan 7.Abhijit Bhaduri 8.Viren Rasquinha 9.Prakash Iyer 10.Avnish Bajaj 11.Nandan Nilekani 12.Atul Kasbekar 13.Karthik Reddy 14.Pramath Sinha 15.Vedika Bhandarkar 16.Vinita Bali 17.Zia Mody 18.Rama Bijapurkar 19.Dheeraj Pandey 20.Anu Madgavkar 21.Vishy Anand 22. Meher Pudumjee 23.KV Shridhar (Pops) 24.Suresh Naraynan 25.Devdutt Pattanaik 26.Jay Panda 27.Amit Chandra 28.Chandramouli Venkatesan 29.Roopa Kudva 30.Vinay Sitapati 31.Neera Nundy. DISCLAIMER  All content and opinions expressed in the podcast are that of the guests and are not necessarily the opinions of Deepak Jayaraman and Transition Insight Private Limited. Views expressed in comments to blog are the personal opinions of the author of the comment. They do not necessarily reflect the views of The Company or the author of the blog. Participants are responsible for the content of their comments and all comments that are posted are in the public domain. The Company reserves the right to monitor, edit, and/or publish any submitted comments. Not all comments may be published. Any third-party comments published are third party information and The Company takes no responsibility and disclaims all liability. The Company reserves the right, but is not obligated to monitor and delete any comments or postings at any time without notice.

Oil and Gas This Week Podcast
#054 OGTW: Did this CFO Defy Oil and Gas Securities Law?

Oil and Gas This Week Podcast

Play Episode Listen Later Mar 11, 2016


ExxonMobil says its looking for assets, not takeovers. Dupont's numbers are just crazy talk. And did this CFO Violate Oil and Gas Securities Law? CLICK HERE TO LISTEN NOW We Have a Winner! Tawfik Azer shoots … He scores! Oh baby,

Oil and Gas This Week Podcast
#054 OGTW: Did this CFO Defy Oil and Gas Securities Law?

Oil and Gas This Week Podcast

Play Episode Listen Later Mar 11, 2016


ExxonMobil says its looking for assets, not takeovers. Dupont's numbers are just crazy talk. And did this CFO Violate Oil and Gas Securities Law? CLICK HERE TO LISTEN NOW We Have a Winner! Tawfik Azer shoots … He scores! Oh baby,