Subsidiaries using RegCF
This came up no less than three times last week, so I figured it was worth a blog post. Subsidiaries can raise funds under Reg…
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…
End to End for RegCF
When the JOBS Act was signed into law in 2012, it brought about many changes in the private capital markets, namely, the dramatic increase in…
What are the Benefits of Digital Securities for Issuers and Investors?
With the emergence and development of blockchain technology, digital securities have seen wider adoption by investors and investment firms. Arising from the need for protection…
Why do I need a FINRA Broker-Dealer?
Broker-dealers are an essential part of the fundraising process. These entities can be small, independent firms or part of a large investment bank. However, regardless…
How to Select a Crowdfunding Platform for Your Capital Raise
One of the significant advancements brought to the financial sector in recent years was the enaction of the JOBS Act signed into law by President…
What is KYP?
Previously, we have talked about KYC or Know Your Client. KYC is a rule from the non-profit Financial Industry Regulatory Authority (FINRA), created in the…
What is the Difference Between Fiduciary Responsibility and Regulatory Requirement?
By definition, a fiduciary is a person or an organization who holds a legal or ethical relationship of trust with another person or organization. Typically,…
Why are Background Checks Important?
Money laundering is a global issue, with the United Nations estimating that between $800 billion and $2 Trillion are laundered each year, with 90% of this…
What is KYC?
In 2007, the SEC approved the founding of the non-profit Financial Industry Regulatory Authority (FINRA). FINRA was created in the wake of a failing economy…
KorePartner Spotlight: Etan Butler, Chair of Dalmore Group
With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the KorePartners that contribute to its ecosystem. Etan Butler…
Why is a Broker-Dealer Important for Private Company Offerings?
If you’re looking to raise money for your private company, chances are that you’ve at least heard the term “broker-dealer.” However, if you’re new to…
The SEC proposes expanding the “accredited investor” definition
The SEC has proposed amending the definition of “accredited investors.” Accredited investors are currently defined as (huge generalization here) people who have net worth of $1 million…
Equity Crowdfunding Platforms (RegCF)
As of 02 JUNE 2020, there are 51 active RegCF Equity Crowdfunding Platforms helping companies raise up to $1.0M USD. We are all anticipating that RegCF…
FINRA BD Requirements for RegA+ & Digital Securities
FINRA BD Requirements for RegA+ & Digital Securities The private markets are receiving a much updated revamp by the SEC which is having a major…
What is Reg A plus versus Reg A?
The simple answer is that today, Regulation A (Reg A) and Regulation A+ (Reg A+) are the exact same law. There is no difference, and…
SEC changes to RegA+ and RegCF
On 04 March 2020, the US Securities Exchange Commission (SEC) has laid out the proposed changes that are going to have a major impact on…
Understanding Digital Assets
There has been a lot of talk in recent years about crypto, tokens, blockchain, ICOs, STOs, Digital Securities, etc. What does it all mean and…
Facebook’s Libra Reboots the Crypto World
Facebook Libra Project set’s to rebook the crypto world. Since the announcement by Facebook of their Libra Project, everyone in the world came out with…
Minimizing Failure Vector Surfaces for Digital Securities
Modern capitalists and ancient Chinese may disagree on many things, but the one thing they do seem to agree on relates to security of the…
Capital Raising “Capital markets point of view” dealer
For private issuers, raising capital is the next natural step once you have exhausted other traditional forms of financing. It becomes even more enticing when…
