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Regulation A+ - What Broker-Dealers Need to Know

May 04, 2017

A great deal has been written about the updated and expanded version of Regulation A, the rules for which went effective in 2015.  The new version of Regulation A, dubbed “Reg A+” provides an exemption for small offerings of up to $50 million worth of securities in any one year period.  Little, however, has been written about the requirements from the perspective of FINRA member firms that may act as selling agents or underwriters in Reg A+ offerings.  

To read the full article, please visit the link http://htflawyers.com/00030703.pdf

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HTFL is a proud sponsor of the Marcum Microcap Conference, June 15-17, 2017 at The Grand Hyatt Hotel in New York.

April 17, 2017

The Marcum MicroCap Conference is an annual highlight on the investment community calendar. Since its launch in 2012, this event has become a nationally recognized forum for publicly traded companies with less than $500 million in market capitalization to network with fund managers and high net worth investors who focus on small cap equities. More than 2,000 participants from all segments of the microcap market participate each year, including senior management, finance and legal executives, venture and lower middle-market private equity investors, institutional investors, directors, investment bankers, buy- and sell-side analysts, and service providers to the microcap marketplace.

In 2017, the Marcum MicroCap Conference will be held June 15-16 at the Grand Hyatt Hotel in New York City. As in past years, this event will consume all public meeting spaces and conference rooms of the hotel to deliver a jam-packed agenda over the course of two days.

http://www.marcummicrocap.com/sponsors

HTFL Is A Proud Sponsor of NIBA New York, NY Investment Conference February 27-28, 2017

February 21, 2017

NIBA Conferences are one-and-a-half day fast-paced intimate events that provide private and public issuers, regardless of size or industry, a unique platform to present their individual stories to our vast network of Registered Investment Advisors, Private Equity Groups, Family Offices, Investment Bankers, Broker Dealers, Boutique Corp. Finance, Specialized Investment Brokerages, Venture Capital Groups, Financing Partners, Market Makers and market professionals, all experienced within the capital markets.

To learn more about the Conference, please visit NIBA New York, NY Investment Conference

Dates: Feb. 27-28, 2017

Place: The Westin New York Grand Central

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Dabbing Into The Financial Side Of Marijuana

January 17, 2017

Law360, New York (January 13, 2017, 4:08 PM EST) -- Marijuana is illegal under federal criminal law.[1] Notwithstanding the federal ban, 23 states and the District of Columbia have legalized the use of medical marijuana.[2] Additionally, every issuer that intends to raise capital from investors for a marijuana-related business must provide a list of risk factors relating to the industry and current legal atmosphere, including informing investors that the issuer may be unable to repay the investors based on the current laws.[3]

News

Wall Street Dead Ahead 2016 Networking Event

September 19, 2016

HTFL is a proud sponsor of the Wall Street Dead Ahead 2016 Networking Event.

This event cultivates lasting business relationships and friendships in a relaxed atmosphere. 
Attendees enjoy live music while networking with professionals that share both music and financial experience as conversation-starting commonalities.

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