Communications and publicity by issuers prior to and during a Regulation CF (RegCF) Offering

The idea behind crowdfunding is that the crowd — family, friends, and fans of a small or startup company, even if they are not rich…


Latest posts

10 RegA+ Issuers Penalized for SEC Violation: What Can We Learn?

We’ve discussed compliance at length and how it’s essential for building trust within the private capital markets. But what happens when you’re not compliant? The…

What is an Escrow Provider’s Role in RegA+?

An escrow provider is a neutral party that handles financial transactions between two or more parties. They are often used in the securities industry to…

What Does Direct Listing Mean?

Recently, we received a question from an issuer wondering what “direct listing” means. In short, a direct listing, also sometimes referred to as a direct…

Private Equity VS. Venture Capital

For companies looking to raise capital, there are many options on the table. From raising capital from friends and family and crowdfunding to private equity…

Can I Trade Private Shares?

Think of buying a traditional stock, listed on a public exchange like the New York Stock Exchange or NASDAQ. You can buy and sell these…

What is a CIK Number?

Recently, we received a question from an issuer who asked what a CIK number is. If you have ever filed a form with the Securities…

What is an Option?

Like warrants, options are a form of security called a derivative. As a derivative’s name suggests, these securities gain their value from an underlying asset….

What is a Burn Rate?

Recently, we received a question from an issuer, asking what a burn rate is. We believe that education is an essential part of the capital…

Veni, Vidi, Verify

More than two millennia ago, Julius Caesar said the famous phrase, “Veni, Vidi, Vici”, triumphant in battle. This translates to, “I came, I saw, I…

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