Private Equity VS. Venture Capital
For companies looking to raise capital, there are many options on the table. From raising capital from friends and family and crowdfunding to private equity…
10 RegA+ Issuers Penalized for SEC Violation: What Can We Learn?
We’ve discussed compliance at length and how it’s essential for building trust within the private capital markets. But what happens when you’re not compliant? The…
April Investment Crowdfunding Sees Near-Record Levels
The last couple of months have been a turbulent time for the financial sector. In March, we first saw the collapse of Silicon Valley Bank,…
What is a Board of Directors?
Recently, we received a question from an issuer, asking to explain what a board of directors is. We believe that education is an essential part…
Form C-AR filing time again!
Hi everyone; a reminder that we are just over a month away from the deadline to file Form C-AR by May 1.* We wanted to…
Misconceptions About Regulation S
Continuing our last post on Regulation S, then are still a few things that should be known to issuers looking to explore this method of…
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…
