Athens, Georgia – February 16, 2011
The National Investment Banking Association (NIBA) today announced Joe Price, Senior Vice President, Corporate Financing / Advertising Regulation, at the Financial Industry Regulatory Authority (FINRA) will be the Keynote Luncheon Speaker on Thursday, March 3, 2011 at NIBA’s upcoming Ft. Lauderdale, FL Conference. Mr. Price will also be representing FINRA as a participant in an Interactive Panel to be held in the afternoon on Thursday, March 3.
Joe Price FINRA |
“As the Keynote Speaker Mr. Price will provide perspectives on the challenges of small issuer offerings in the post-Dodd-Frank era, an up to the minute summary of recent FINRA rule changes FINRA’s plans for review of Private Placement filings; fiduciary standards for Registered Reps; the material changes filings by non-exchange listed issuers; and budgetary and staffing action in corporate finance and advertising at FINRA,” stated Emily Foshee, NIBA Executive Director.
As NIBA’s FINRA panelist member, Mr. Price will use his expertise to discuss up to the minute overviews on current offering related rule making changes and proposals for BD’S that underwrite or act as placement agents. Joe will discuss, and field questions related to offering types affected, including the proposals now being considered, like rule 5122, and changes made like rules 1113, 9520, and 6490. He will discuss how you can determine whether your current process of underwriting or placing deals is sufficient and compliant under new rules, and whether you can still make money on transactions’ under $15MM in underwriting and placement.
Investment professionals who are not currently NIBA members are invited to attend, but must pre-register by completing the registration form found HERE. NIBA has secured a discounted room rate at The Westin Beach Resort & Spa, Ft. Lauderdale for confirmed attendees, however space is limited. For more information, please contact Emily Foshee, NIBA Executive Director, at 706-208-9620.
Corporate sponsorships are available. For information on sponsoring, please contact Elite Financial Communications Group by calling 407-585-1080 or via email at NIBA@efcg.net.