Speaking Engagement - 2024 FINRA National Conference: Capital Markets and Crowdfunding

The 2024 FINRA Annual Conference offers insights from the regulators and industry experts on a number of emerging regulatory priorities. This year, Brandon Klerk, Founder of Halyard Compliance, joins FINRA Capital Markets and Funding Portal Member Regulation to discuss current capital markets considerations for Broker-Dealers and Funding Portals.

Crowdfunding Capital Raises - Considerations for Broker-Dealers & Funding Portals:

This session discusses aspects of Regulation CF and considerations for broker-dealers and funding portals within the crowdfunding industry. The purpose of the panel discussion is for attendees to gain knowledge on emerging regulatory risks and best practices broker-dealers and funding portals can implement to stay in compliance.

Sign up to attend in-person or virtually at FINRA.org. The panel discussion will take place Wednesday, May 15, in Washington D.C.