<img height="1" width="1" style="display:none" src="https://www.facebook.com/tr?id=533208126839177&amp;ev=PageView&amp;noscript=1">

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.
Find me on:

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
1 2