Events Calendar

Business Law Skills Series: The Role of Intermediaries in Capital Raise Transactions

Continuing Legal Education

September 18, 2013 Wednesday 12:00pm - 1:00pm

Should companies engage finders to get the investor connections? This presentation will explore what role intermediaries can play in capital raise transactions. We will discuss what level of diligence the company must do on the intermediary, the role such intermediary can play in the transaction and the type of compensation, if any, that can be paid to such intermediary. This presentation will also examine the implications of using an intermediary who would qualify as an unregistered broker-dealer on the securities transaction.

Lunch is included with this program.

Event Code
IndyBar Education Center, 135 N. Pennsylvania, Suite 1500
Credit Hours
1.00   (General)
Business Law Section
Ms. Haley Altman, Ice Miller LLP

Registration Options

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