Alert to Valuation Practitioners and Others —
New FINRA License 79
One-Hour Live Webinar Presentation
featuring
Dennis Roberts and Scott Miller

• Breaking news: Willful violation of the broker-dealer registration provisions of
Section 15(a) of the Securities pursued by SEC. Learn what you now urgently need to
know as an unlicensed broker finder placement agent for M&A and capital raises.

Program Focus

• Do you know what the FINRA Fairness Opinion Rules Are?
• What does the new FINRA (formerly NASD) requirement for securities license 79 mean to Practitioners?
• How does it affect Fairness Opinions for valuations?
• How does it affect Solvency Opinions?
• How does it affect M&A practitioners?
• How does it affect staff training?
• How does it affect those who do restructuring work?
• When are the new rules effective?
• What do the grand fathering rules mean? Who qualifies?
• What are the marketing ramifications to practitioners?
• The history and precedent for this rule.
• What is MMIBA and its involvement?
• What does this mean to backroom staff supporting engagements?

What You Will Learn
There is a brand new and long awaited new licensing requirements from the SEC/FINRA pertaining to Fairness Opinion Issuers, Insolvency Opinions, Restructuring Services and M&A practitioners and firms. Every practitioner in each of these disciplines should be aware of the ramifications of the new rule and licensing requirements. In one way or another this has been coming for years through the efforts of the ABA and many other organizations including founding members of MMIBA.

Who Should Attend
CPA’S, valuators, M&A practitioners, M&A support services providers.

Presenters

Dennis Roberts CPA, CVA, ABV Dennis Roberts is Chairman of The McLean Group, LLC. Mr. Roberts has more than 35 years of accounting and investment-banking experience involving a multitude of transactions across a wide variety of industries and markets. Mr. Roberts was the Founder, Chairman, and CEO of a publicly-held national bank from 1984 to 1992. Prior to that, he was Founder and Senior Partner of a large Washington, DC area accounting firm that he sold to his partners in 1987. While a practicing Certified Public Accountant (CPA), Mr. Roberts focused on mergers & acquisitions (M&A), commercial finance, and similar transactions. A graduate of Benjamin Franklin University (which subsequently merged with George Washington University), Mr. Roberts is a Certified Valuation Analyst (CVA). He also is Accredited in Business Valuation (ABV) by The American Institute of Certified Public Accountants, and is an enrolled Federal Tax Accountant. He teaches, lectures, and writes on M&A, business valuation, and corporate finance to national audiences. He is a Financial Industry Regulatory Authority (FINRA) registered representative and firm principal (Series 7, 24, 28, 63).

Scott Miller CPA/ABV, CVA As an entrepreneur himself, Scott Miller understands closely held and family-owned businesses. He balances that perspective with years of corporate experience, starting his career at a national public accounting firm, going on to serve as a VP of Finance and plan fiduciary for a large ESOP company. He then served as a principal in several family businesses, and founded ESI in 1993. At ESI, he’s helped hundreds of businesses through transition planning, including valuations, strategic planning, financing, fairness opinions, terminations and litigation support. As a nationally recognized authority on business valuations, he’s published widely in professional journals and is a sought-after speaker for professional and industry groups. He’s authored technical seminars for the American Institute of Certified Public Accountants and the National Association of Certified Valuation Analysts. Scott has an undergraduate degree from Kenyon College and an MBA from the Cornell University Johnson Graduate School of Management. He is a CPA with additional business valuation accreditation from the AICPA and NACVA.

CPE Credit

The National Association of Certified Valuation Analysts is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Web site: www.nasba.org

Program Level: Overview	Prerequisites: None	Advanced Preparation: None
Delivery Method: Group-Internet-Based	CPE Credits: One (1) hour	Fields of Study: Specialized Knowledge & Applications

If you are a members of both NACVA and the IBA --receive a 15% discount off the non-member registration fees.

Pricing
NACVA member: $85; non-member: $95 per person and allows access to one phone line; one CPE attestation form and one evaluation form are included with each registration.

Multi-person discounts are available for additional registrants at your site; the cost for additional people to register for the webinar is $58 per NACVA/IBA member and $65 per non-member.  Additional registrants also receive one CPE Attestation Form and one evaluation form.

Because every live webinar presentation will include periodic online questions during the session to assess continuous participation and to determine the program’s effectiveness, both the primary registrant and any additional registrants must view and listen to the webinar presentation at individual computers in order to receive NASBA/NACVA qualified CPE credit.

REGISTER NOW !
Complete the Registration Form: click here and fax it to (866) 548-2321 or scan and email it to NACVAWebinar@nacva.com. For information regarding administrative policies such as complaints and refunds, please call our Director of Member Services: (801) 486-0600.  Webinar Cancellation Policy: click here

IMPORTANT NOTE: After you register, you will receive email confirmations with web logon and teleconference instructions from NACVA Webinar Information (NACVAWebinar@nacva.com). Please check your spam and/or junk folders to insure you receive these communications. Thank you!