FINRA Under the Hood: Private Placements, Finders, and Alternatives

Overview:

Partner John F. Guild will serve as a panelist for the Dallas Bar Association Securities Section meeting, “FINRA Under the Hood: Private Placements, Finders, and Alternatives.”

Date/Location:

Monday, March 30, 2026
12:00 p.m. CT

Virtual Event

Event Details:

Hosted by the Dallas Bar Association Securities Section, this program will provide an inside look at how FINRA evaluates and monitors private offering activity, and how practitioners can identify issues and act before problems develop.

Topics will include broker-dealer registration requirements and their practical application, the scope and risks of finder activity, how FINRA examination findings can escalate to enforcement, and the evolving role of RIAs and technology platforms as alternatives to traditional broker-dealer structures.

Guild will present alongside moderator Jason T. Barnes of Munsch Hardt Kopf & Harr, P.C.