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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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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

Alternatives SEC Advisors

Reg BI: The Care Obligation and Reasonable Alternatives

As broker-dealers prepare to implement policies to comply with the SEC’s Regulation Best Interest (Reg BI), one requirement they ...
Chris Rohde March 20, 2020 0

Sponsors Managing Broker-Dealer

Managing Broker-Dealers: Benefits to Investment Sponsors with Selling Syndicates

A managing broker-dealer (also known as a dealer-manager) can provide significant value to its sponsor partners by bringing a ...
Chris Rohde July 29, 2019 0

Real Estate Opportunity Zones

Do You Need to Use a Broker-Dealer for an Opportunity Zone Fund?

The latest real estate-based tax-deferral investment strategy, opportunity zone funds, has only begun to impact the market. As ...
Chris Rohde February 8, 2019 1

1031 Exchange Opportunity Zones

The Difference Between Opportunity Zones and 1031 Exchanges

2018 tax reform laws have created a new investment category: Opportunity Zones. Qualified Opportunity Funds join an increasingly ...
Chris Rohde January 10, 2019 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
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