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…
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…
Quarterbacks: Their Role and Why They’re Essential for Your RegA+ Raise
In the world of Reg A+, quarterbacks are essential to a successful offering. They play a critical role in the overall success of an offering,…
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…
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…
