Tag: broker-dealer

by Oscar Jofre

The Broker-Dealer’s Guide to Due Diligence process

In the realm of private capital markets, due diligence is not just a procedure but a pledge—a commitment to uphold integrity, trust, and compliance.  This…

by Scarlett Duarte

Raising capital for startups: 3 red flags for not being tricked

Can a startup pay a transaction-based fee for capital raising assistance? This is a very common question. For the most part, the answer is a…

by Oscar Jofre

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…

by Oscar Jofre

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…

by Oscar Jofre

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…

by Oscar Jofre

SEC Amends Broker-Dealer Record-keeping Requirements

The SEC’s long-time policy for broker-dealers is to keep records of their business activities in a non-rewritable, non-erasable format – otherwise known as WORM (Write…

by Oscar Jofre

Who Does Due Diligence on Companies Using RegCF?

When it comes to raising capital using Regulation Crowdfunding (RegCF), due diligence is an essential part of the process. Due diligence helps ensure that the…

by Oscar Jofre

Who Does Due Diligence on Companies using RegA+?

Due diligence is an essential part of the investment process. Especially following the passage of the JOBS Act in 2012, which expanded Regulation A+ (RegA+),…

by Oscar Jofre

Opportunities to Invest in the Private Capital Market

The private equity market is rapidly growing, fueled by expansions to the JOBS Act exemptions in 2021. By 2030, the private capital market is anticipated…

by Oscar Jofre

How to Manage Investment Information

For entrepreneurs, it’s crucial to understand the private capital market well. Companies no longer need to go public to raise capital, enabling entrepreneurs to maintain…

by Oscar Jofre

What is KYC?

Each year, an estimated $2 trillion from illicit activities is laundered. This poses a significant challenge to financial institutions, requiring onerous efforts to verify that…

by Jason Futko

Partnership Strengthens Growing Industries Raising Private Capital

In another strategic move, KoreConX All-In-One Platform announces partnership with Fundopolis, an online investment bank specializing in exempt offerings and private placement capital allocation, as…

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 Oscar Jofre

The 1% Broker-dealer & What you need to ask!

When working with FINRA Broker-dealer, it’s not enough that they simply have the required licenses that are necessary, so make sure to ask some questions:…

October 8, 2021

by Oscar Jofre

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…

by Oscar Jofre

Nominee vs. Direct: How does this affect investors?

Today, there are many ways to buy and sell securities. For publicly traded companies, 75% of Americans are familiar with investing apps or online accounts. For private…

by Oscar Jofre

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 Oscar Jofre

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 Alternative Finance?

By definition, alternative finance includes any financing source outside of the traditional realm of the traditional finance systems like regulated banks and stock markets. Such…

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