Skip to the main content.
CONTACT US
CONTACT US

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
Read More

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
Read More

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
Read More