Chris Rohde

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

4 min read

Reg BI: The Care Obligation and Reasonable Alternatives

Picture of Chris Rohde Chris Rohde: Mar 20, 2020 10:45:00 AM

As broker-dealers prepare to implement policies to comply with the SEC’s Regulation Best Interest (Reg BI), one requirement they should be cognizant...

RegBI SEC Advisors
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3 min read

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

Picture of Chris Rohde Chris Rohde: Jul 29, 2019 1:30:00 PM

A managing broker-dealer (also known as a dealer-manager) can provide significant value to its sponsor partners by bringing a wealth of experience...

Sponsors Managing Broker-Dealer
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2 min read

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

Picture of Chris Rohde Chris Rohde: Feb 8, 2019 11:30:00 AM

The latest real estate-based tax-deferral investment strategy, opportunity zone funds, has only begun to impact the market. As more of these funds...

Real Estate Opportunity Zones
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