Category: SEC

by Oscar Jofre

SEC Charges Eight in Scheme to Fraudulently Promote Securities Offerings

On September 30, 2022, the SEC announced charges against 8 CEOs and CFOs for fraudulently promoting Regulation A+ securities offerings.  The companies named by the…

by Hannah Melotto

The SEC Released its 41st Annual Small Business Forum Report

For 41 years, the Securities and Exchange Commission has hosted its annual Small Business Forum. The event, led by the SEC’s Office of the Advocate…

by Hannah Melotto

It is time to meet your MedTech A+ Team

With our KoreSummit on RegA + for Medtech companies quickly approaching, we’d like to introduce the speakers we are thrilled to have for this informative…

by Hannah Melotto

How Can a Foreign Company use RegA+

For many issuers outside of the United States, the ability to raise capital from a wide pool of investors, including “the crowd” is immensely compelling….

by Hannah Melotto

What Does ATS Mean in Trading

Many investors are turning to the private capital market to make long-term investments in light of the current market conditions. This has increased alternate trading…

by Hannah Melotto

Trends We Believe Will Shape Investment Crowdfunding

In the first half of the year, a great deal has happened in investment crowdfunding. We’ve seen several trends emerge that are worth looking at…

by Hannah Melotto

It All Started with the JOBS Act

This month, we launched our newest series, KoreTalkX, during which we have hosted exciting, one-on-one conversations with industry experts to expand the knowledge base on…

by Oscar Jofre

Security Tokens for RegA+

Although security tokens have been around for a while, they have started to gain popularity because they offer several advantages over traditional investment vehicles. In…

by Peter Daneyko

Credit Cards, Escrow, and Broker-Dealers for RegA+ = $75 Million for Cannabis Companies

  “It’s About Time”   Up until now, it was a real challenge for Cannabis companies to take advantage of Reg A+ exemptions that allow…

by Hannah Melotto

What are the Benefits of Having a Diverse Investment Portfolio?

Building a diverse investment portfolio is one of the smartest things you can do for your financial health. By spreading your money across various asset…

by Nate Dodson

Foreign Investors Key Considerations for Your Next Deal

This post was originally written by our KorePartners at Crowdfunding Lawyers. View the original post here.    When discussing fundraising for your deals, most of…

by Hannah Melotto

Can I Use My IRA for Private Company Investments?

Individual retirement accounts (commonly shortened to IRAs) allow flexibility and diversity when making investments. Whether investing in stocks, bonds, real estate, private companies, or other…

by Hannah Melotto

What is Regulation S?

It is essential to be familiar with the different regulations that govern how companies can raise capital in today’s business world. One important rule is…

by Hannah Melotto

What is Regulation A+?

Regulation A+ (RegA+) was passed into law by the SEC in the JOBS Act, making it possible for companies to raise funding from the general…

by Hannah Melotto

How Have the JOBS Act Exemptions Impacted Company Founders?

Since the JOBS Act was passed in 2012, it has been easier for company founders to raise money with exemptions like Reg CF and Reg…

January 5, 2022

by Hannah Melotto

Why are Data and Research Key in the Private Capital Markets?

Data and research are essential pieces of the puzzle regarding the private capital markets. Investors can make informed decisions about where to put their money,…

by Hannah Melotto

The Evolution of Reg A+

During the recent Dare to Dream KoreSummit, David Weild IV, the Father of the JOBS Act, spoke about companies going from public to private, access…

by Hannah Melotto

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…

by Hannah Melotto

How Does a Transfer Agent Protect Issuers and Investors?

A transfer agent is responsible for the custody of securities and preserves books and records. They also keep up with who owns what investment, which…

by Oscar Jofre

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…

by Hannah Melotto

What is the Difference Between the Public and Private Capital Markets?

  The public and private capital markets work differently, but both sectors play essential roles in supporting economic growth. Companies raise funds for long-term growth…

by Hannah Melotto

What is an NFT?

A non-fungible token, more commonly known as NFTs, is a unique cryptographic asset that cannot be replicated and stored on a blockchain. By definition, fungibility is when…

by Oscar Jofre

$1 Billion Raised Through RegCF

It seems 2021 is the year where we continue to break new ground for the JOBS Act, and today marks a momentous milestone in its…

by Hannah Melotto

Tokenization in RegA+

As the private capital market continues to undergo a digital transformation, ideas like blockchain, digital securities, and tokenization continue to be discussed by regulators, issuers,…

by Hannah Melotto

Why do I need Blue Sky registration for Secondary Trading?

Through the Regulation A+ exemption, securities issuers can raise up to $75 million as of March 2021. This creates a significant opportunity for the everyday…

by Hannah Melotto

How often do I need to hold an AGM?

Every year, Warren Buffet hosts the Berkshire Hathaway Annual Shareholders Meeting. This meeting is an Annual General Meeting (AGM), widely viewed with many people in…

by Hannah Melotto

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…

by Hannah Melotto

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…

by Hannah Melotto

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,…

by Hannah Melotto

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…

by Hannah Melotto

What are Options?

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….

by Hannah Melotto

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…

by Oscar Jofre

What is Regulated Crowdfunding

On April 5th of 2012, President Obama signed into law legislation called the JOBS Act. Four years after that act was signed, Title III of…

by Oscar Jofre

What is a RegA+ Annual Shareholder Meeting?

With Regulation A+ allowing companies to raise up to $75M USD, the regulation enables many great investors to support an issuer’s journey. From the everyday…

by Sara Hanks

Reg A and Reg CF Issuers: Time to Count Your Shareholders!

Reg A and Reg CF have been around for a few years now and we are finding that some of our clients, especially those that…

by Hannah Melotto

What Impact Will Blockchain Have on Private Markets?

Blockchain has become a familiar buzzword, especially as things such as cryptocurrency grow in popularity. Currently, 46 million Americans now own Bitcoin. However, blockchain has many…

by Oscar Jofre

What is the Role of a Corporate Secretary?

A Corporate Secretary is a required position set forth by state corporation laws and is part of the ‘check and balance’ on board members and…

by Oscar Jofre

Shareholder Rights and Why They’re Important to Know

The first thought that comes to mind when someone says “shareholder,” is Wall Street, understandably, as Wall Street is home to the New York Stock…

by Oscar Jofre

What is Due Diligence?

When it comes to investments of any kind, due diligence is essential for both issuers and investors alike. Do so what exactly is due diligence?…

by Hannah Melotto

Are You Ready to Raise Capital?

Whether you’ve raised capital in the past or are preparing for your first round, being properly prepared will help your company secure the funding it…

by Sara Hanks

How a Member of the Crowd Made Crowdfunding Easier

A while back, one of our favorite start-up clients called me and asked me to speak to a potential investor. Paul Efron, a resident of…

by Hannah Melotto

Managing Your Investments in Private Companies

For investors, investing in private companies can be a beneficial way to diversify their investment portfolios. Whether the investment was made through private equity or…

by Hannah Melotto

KorePartner Spotlight: Jonny Price, Vice President of Fundraising at Wefunder

With the recent launch of the KoreConX all-in-one platform, KoreConX is happy to feature the partners that contribute to its ecosystem.   Jonny Price has…

by Hannah Melotto

Conducting a Successful RegA+ Offering

If your company is looking to raise funding, you’ve probably considered many options for doing so. Since the SEC introduced the outlines for Regulation A+…

by Mark Roderick

Tax Alert for Sponsors and Fund Managers: IRS Issues Final Regulations for Carried Interests

Every real estate syndication and private investment fund involves a “carried interest” for the sponsor, also known as a “promoted interest.” The IRS just issued…

March 19, 2021

by Hannah Melotto

The State of the Jobs Act 2021 KoreSummit Webinar

The JOBS Act was signed into law just nine years ago, in April of 2012. Since then, thousands of companies have taken advantage of the…

March 12, 2021

by Lahdan Rahmati

Regulation A+ Is Even Better After Passage Of The Economic Growth Act

On May 24, 2018, President Trump signed the Economic Growth, Regulatory Relief and Consumer Protection Act (the Act) into law. The Act was introduced by…

by Mark Roderick

Using a Transfer Agent Doesn’t Mean You Have a Single Entry on Your Cap Table

Many issuers are concerned that “Crowdfunding will screw up my cap table.” In response, several Title III funding portals offer a mechanism they promise will…

by Hannah Melotto

Why Does My Company Need a 409(a)?

Whether your company is a new startup or an established private company, understanding and proper use of a 409(a) is essential to your company’s success….

by Hannah Melotto

KorePartner Spotlight: Sara Hanks, CEO of CrowdCheck

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem.   With over…

by Hannah Melotto

KorePartners Spotlight: Rod Turner, Founder, Chairman, and CEO of Manhattan Street Capital

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem. Rod Turner is…

by Lee E. Saba

Bringing Private Placements into the Digital Age

How blockchain-based technology will transform private markets   Remember the first time you drove a car with a rear-facing camera? The first time you streamed…

by Hannah Melotto

How Can a Company Raise Capital?

For companies looking to raise capital, there are many different options. While not every option may be best suited for every company, understanding each will…

by Hannah Melotto

What is Regulation A+?

Regulation A+ (RegA+) was passed into law by the SEC in the JOBS Act, making it possible for companies to raise funding from the general…

by Andrew Stephenson

Effective Date of the Amendments to Reg CF and Reg A

The amendments to Reg CF, Reg A, and other rules relating to capital formation utilizing exempt offerings have finally been published in the Federal Register,…

by Hannah Melotto

Meet the KorePartners: Andrew Corn, CEO of E5A Integrated Marketing

With the recent launch of the KoreConX all-in-one RegA+ platform, KoreConX is happy to feature the partners that contribute to its ecosystem.   From the…

by Jeanne Campanelli

Warrant Issuers, Keep Your Offering Statement Evergreen

An increasing number of issuers have been using Regulation A to make continuous offerings of units, consisting of a combination of equity, often common stock,…

by Sara Hanks

Foreign Issuers Using Regulation A and Regulation CF

For some reason, this issue has been coming up a lot lately. Our usual response to the question “Can non-US issuers make a Regulation A…

by Hannah Melotto

What is the Role of a Transfer Agent for a Private Company?

For companies issuing securities to investors, a transfer agent plays an important role in the process. If your company has yet to issue securities but…

by Hannah Melotto

How to be Ready for Raising Capital

Whether you’ve raised capital in the past or are preparing for your first round, being properly prepared will help your company secure the funding it…

by Hannah Melotto

What are Blue Sky Laws and Why are They Important?

Originating in the aftermath of the Great Depression, “blue sky laws” were made possible by the Uniform Securities Act of 1956. Leading up to the…

by Hannah Melotto

Can I Use My IRA for Private Company Investments?

Individual retirement accounts (commonly shortened to IRAs) allow flexibility and diversity when making investments. Whether investing in stocks, bonds, real estate, private companies, or other…

by Andrew Stephenson

Reg CF Investment Vehicles: What Are They Good For?

In its recent rulemaking, the SEC added new Rule 3a-9 under the Investment Company Act to allow for the use of “crowdfunding vehicles” for Reg…

by Hannah Melotto

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…

by Sara Hanks

SEC Proposes Relief for “Finders”

I have long (oh so long) been one of those urging the SEC to give some clarity with respect to the status of “finders.” See here for…

by Hannah Melotto

Regulation A Offering Limits Increased to $75 Million

On Monday, November 2, exciting news was announced by the SEC regarding Regulation A offerings. The Securities and Exchange Commission approved long-awaited amendments to offering…

by Oscar Jofre

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…

by Oscar Jofre

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…

by Kendall Almerico

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…

by Oscar Jofre

Why is my cap table so important for my company?

It’s never too early in the process of building a company to start managing your capitalization table (otherwise known as a cap table). As a…

by Oscar Jofre

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…

by Oscar Jofre

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…

by Oscar Jofre

Webinar sheds light on Digital Securities Terrain

The regulator’s message is clear: there’s no room for tampering with the regulation when it comes to capital raising, and many companies that invested time…

by Kiran Garimella

Who do you trust with your Crypto?

“The great thing about trustless cryptocurrency systems is just how many incompetents you have to trust along the way.” – David Gerard, author of Attack…

by Kendall Almerico

Lessons To Be Learned From The SEC’s Recent Penalties for ICO Companies

The Securities and Exchange Commission recently brought their regulatory hammer down on several ICO-related companies. After months of public statements from officials and rumors of numerous subpoenas…

by Oscar Jofre

Difference between Crypto and Security Token

Is there a difference between cryptocurrency and a security token? The answer is yes, there is a big difference. And it is time we get…

by Oscar Jofre

Top Questions a Securities Lawyer will Ask an STO Issuer (in USA or Canada)

Security Token Offering is a serious business. The days of the ICO are over. These are clear messages not only from the SEC and other…

by Kiran Garimella

A Big Lesson from the Delaware Blockchain Amendments

Andrea Tinianow, the founding director of the Delaware Blockchain Initiative (and ‘Blockchain Czarina’), recently published a very insightful article on the significant gap in the…

by Jonathan Heymann

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…

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