Recorded: Wednesday, June 8, 2016
Duration: 1 hour
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This webcast covered all of the technical and legal issues related to using email to promote a capital raise.  If you’re a professional in the banking business, or if you’re a company thinking about raising capital with an online marketing platform, you don’t want to miss this.  Registration is free.


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Understanding whether Online Marketing will make your Deal Successful

The attributes of deals that have (and haven’t) worked

Understanding list-building and important issues related to “list fatigue”

The advantages of in-house targeting of investors vs. outsourcing your investor prospecting

How to avoid scams from list brokers, email consultants and third-party mail houses


Making sure your Private Deal Isn’t Accidentally made Public

Navigating the fuzzy line between private placements and public solicitations

The differences and implications of product demos vs. deal marketing

Accidental general solicitation and whether you should avoid press releases and media coverage

How to practice “safe solicitation” through accredited verification for events and email


Understanding Deal Marketing Disclaimers and Avoiding Shortcuts

Proper use of legal disclaimers and legends

Analyzing whether email disclaimers and disavowals carry any legal weight

Understanding 10b-5 liability for brokers, marketers and advertisers

Dissecting the Item 13 requirements under Regulation A


Broker-dealer Issues: To B/d or Not to B/d…that is the Question!

Understanding “recommendation issues” if you’re only a marketing agent

Figuring out how targeted your email campaign can be before you should register as a broker-dealer

Making sure you’re clear on the differences between broker websites and funding portals

The implications of success fees vs. fee-based marketing

Understanding if you can participate in commissions without being registered

Reading deep into the no-action letter which implies finders don’t need to be registered

Working with marketing agents, consultants, and broker-dealer syndicates


Brave New World…Same Old Regulator

Filing the 4815 notice with FINRA to be a CF intermediary

A refresher on FINRA Rule 2210 governing “Communications with the Public”

How to avoid misleading information in your marketing materials (and examples of those who’ve failed)

Is an email from my issuer client’s marketing firm my “retail communication”? 

Complying with FINRA’s Corporate Financing Rules 5110, 2310 and 5121

Mike Bertisch, President/General Counsel,

Lou Bevilacqua, Member, Bevilacqua PLLC

Jim Raper, Chief Compliance Officer, WealthForge

Lou Taubman, Partner, Hunter Taubman Fischer LLC

Craig Goos, President, North Capital

© 2016 Dealflow Analytics, Inc. All rights reserved. Dealflow Analytics, Inc. (d/b/a; “Dealflow”) is not a registered broker-dealer, not a registered investment advisor and does not provide any investment, financial or legal advice. By registering for this event, you have opted-in to receive future marketing emails and communications from Dealflow, and you agree that your registration information may be shared with the sponsor(s) of this event and any presenting companies. Always conduct thorough due diligence and consult your financial, legal and tax advisors before investing in any opportunity.

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