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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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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 SEC

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

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

SEC

Hijacking the Hamiltons: Lessons Learned from Recent Securities Fraud Case

How do some investors end up defrauded of hundreds of thousands, if not millions, of his hard earned money? He meets a fraudster. ...
Chris Rohde March 15, 2017 0

Top 4 Benefits of Using a Series LLC in Private Placements

Any entity that can issue equity or debt, and does not include a bad actor, may use Regulation D private placements to sell ...
Chris Rohde March 3, 2017 0

5 Common Pitfalls When Investing as an Entity

At WealthForge, we see investors of all types—from individuals, to trusts, to other companies. Over time, we’ve noticed that when ...
Chris Rohde February 7, 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

Selling Unregistered Securities: Are More Requirements a Good Thing?

So you’re the new owner of unregistered securities in a private company or fund. What’s next? Maybe there’s a preferred return ...
Chris Rohde October 27, 2016 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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