Author: Chris Rohde

Chris Rohde

Chris serves as Associate Corporate Counsel at WealthForge where he advises on an array of areas, including both federal and state securities laws, broker-dealer law, general corporate law matters, and cybersecurity.
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Advisors Cybersecurity

Remote Work: Cybersecurity Tips for Financial Services Professionals

As much of the world transitions to working remotely, it is important to make sure that you are doing so safely and securely. ...
Chris Rohde April 29, 2020 0

Fintech Straight Through Processing

2 Technology Tools Securities Attorneys Can Recommend to Issuer Clients

Last month, WealthForge hosted a round table in Richmond, VA with local business and securities attorneys to discuss the emerging ...
Chris Rohde September 11, 2018 0

FINRA SEC

How JOBS Act 3.0 Will Affect Alternative Investment Markets

The omnibus bill (The JOBS Act 3.0), as described by Representative Jeb Hensarling in an op ed for the Wall Street Journal, ...
Chris Rohde July 23, 2018 0

SEC

SEC Shifts Focus to Capital Formation

On February 6, 2018, SEC Commissioner Michael Piwowar spoke at the University of Richmond School of Businessas part of its Robins ...
Chris Rohde March 8, 2018 0

1031 Exchange Taxes

Proposed Tax Changes Will Not Eliminate the 1031 Exchange

  Within the last few weeks the Republican leadership in both the House and Senate released their tax plans. In light of this, we ...
Chris Rohde November 17, 2017 0

1031 Exchange Taxes

Proposed Tax Changes Could Eliminate the 1031 Exchange

After tabling the plan to repeal and replace the Affordable Care Act (also known as Obamacare), the legislative focus in ...
Chris Rohde August 17, 2017 0

FINRA

New FINRA Guidance Affects Broker Dealer Communication Rules

In April, the Financial Industry Regulatory Authority (FINRA), the self-regulatory organization that governs broker-dealers like ...
Chris Rohde May 16, 2017 0

FINRA

FINRA Regulatory Notice 17-06: Our Comment in Response

On March 27, 2017, WealthForge Securities submitted a comment in response to FINRA Regulatory Notice 17-06. Notice 17-06 ...
Chris Rohde April 19, 2017 0

Upcoming Changes to Financial Services Rules?

On Monday, December 5, 2016, the U.S. House of Representatives passed the Creating Financial Prosperity for Businesses and ...
Chris Rohde January 25, 2017 0

PIPEs: A Re-Emerging Trend in Capital Markets?

PIPEs. Not the ones in your house, but private investments in public equities. So what is it anyway? A PIPE is any private ...
Chris Rohde August 16, 2016 2
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