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…
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…
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…
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…
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+),…
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…
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…
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…
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…
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…
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:…
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…
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…
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,…
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…
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…
