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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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Issuers Fintech Subscription Automation

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

Regulation SEC FINRA Investors

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

506b SEC Issuers Compliance Reg D

What Constitutes a Pre-existing Relationship in a 506(b) Offering?

Regulation D, Rule 506(b) provides safe harbor for issuers selling unregistered securities as long as the following requirements ...
Chris Rohde June 29, 2018 0

Issuers Compliance Broker-Dealer Regulation Investors

Why Do I Need to Work with a Broker-Dealer?

As an issuer, you may be thinking why would I want or need another person involved in my offering? You already have your team, ...
Chris Rohde June 14, 2018 2

SEC ICO Regulation Securities

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

Compliance Securities Issuers

Why You Should Worry About Blue Sky Filings

On the federal level, when you sell a security in the United States, you must either register that security or sell it under a ...
Chris Rohde February 12, 2018 1

SEC Securities ICO

Are ICOs Securities?

  With the advent of Initial Coin Offerings (“ICO”), the question of whether they are securities continues to plague the ...
Chris Rohde December 5, 2017 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

Compliance SEC FINRA

5 Regulatory Changes That Would Benefit the Private Placement Marketplace

1. Verification of accredited investors For an offering exempt from registration under Rule 506(c), the issuer must take ...
Chris Rohde June 29, 2017 1
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