Guide to Secondary Market Regulations in the US

With Michael Homeier and Charles Kaufman, from Homeier Law, a law firm devoted exclusively to business law

Providing investors liquidity through a secondary marketplace is a valuable capability to firms in private capital markets, especially with the rise of ICOs and tokenization of assets.

This is why many online private capital markets platforms are looking for secondary trading capabilities.

This webinar aims to teach you everything you need to know about the regulations in the US around the secondary markets and adding secondary trading capabilities to your online crowdfunding or investment management platform.

We joined one of the leading law experts in the US to help you learn:

What are the benefits of having the secondary trading capability on your crowdfunding or investment platform
What are the main regulations in the US regarding secondary trading
Best practices and real-life examples of secondary trading in real estate, private equity or private lending
The role of SEC in the secondary market
How cryptocurrency and blockchain fit into the secondary market

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Michael G. Homeier

Co-Founder at Homeier Law PC

Participated in many of the hundreds of private and public securities offering projects that Homeier Law PC has been engaged in since its founding, including EB-5, crowdfunding, and Reg D Rule 506(b) and Rule 506(c) offerings, foreign direct investment projects, and public company filings.
Actively participates in public speaking engagements, both in the business financing (especially EB-5 and equity crowdfunding) and business law arenas.
A member of the State Bar of California, the American Immigration Lawyers Association, the EB-5 Securities Roundtable, Invest in the USA (IIUSA, the EB-5 regional center trade organization), the U.S. Naval Institute, and the Screen Actors Guild-AFTRA.

Charles Kaufman

Principal at Homeier Law PC

Has over 18 years of experience representing public and private companies in a broad range of industries.
Advised both public and private companies on mergers and acquisitions and equity compensation and advised newly formed enterprises on corporate organization and financing.
Has extensive experience advising public companies on securities regulation and compliance and advising both new and established companies on public and private offerings of equity and debt securities, mergers and acquisitions, corporate governance, Sarbanes-Oxley and Dodd-Frank regulation, global compliance, conflicts and special committee concerns, internal investigations, listing and delisting, crisis management, and insolvency.

“Katipult provides a powerful, cloud-based infrastructure that will allow us to manage our private placement activities in a digital environment and improve coordination across teams and geographies, so that we can provide the best possible outcomes for our clients.”

Pat Burke

President Capital Markets

“Raymond James selected Katipult to provide the software for a new online private placements platform to distribute alternative investment products offered by its Equity Capital Markets division across its financial advisor network. ”

Gord Breese

Katipult CEO

Guide to Secondary Market Regulations in the US

With Michael Homeier and Charles Kaufman, from Homeier Law, a law firm devoted exclusively to business law

Register now

Michael G. Homeier

Charles Kaufman

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